Displaying 1451 - 1460 of 34826 Results
GUIDANCE
Short Sales
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Trading
Bona Fide Market Making
Short SalesRule 5100IM-5100
Executive Summary
Rule 5100 generally prohibits a member from effecting short sales
in NASDAQ Global Market (NGM) securities1 otherwise than on an
exchange for a customer account, or the member's own
REQUEST FOR COMMENT
Proposed Amendments to Rule 2720
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing
Legal & Compliance
Senior Management
Trading & Market Making
Affiliate
Conflicts of Interest
Equity & Debt Offerings
Investment Banking
Qualified Independent UnderwriterRule 2710Rule 2720
Underwriting Compensation
Executive Summary
NASD is issuing this Notice
GUIDANCE
Options
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Institutional
Senior Management
Operations
Trading
Options
Contrary Exercise Advice
Exercise-by-Exception
Exercise Procedures
OptionsRule 2860Rule 11850
Executive Summary
On August
GUIDANCE
Trading Volume and Interest
SUGGESTED ROUTING
KEY TOPICS
Advertising
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Communications with the Public
Manipulative and Deceptive
Quotations
Publication of Transactions and
QuotationsRule 2120Rule 2210Rule 3310
Trading Interest
Trading Volume
Use of
INFORMATIONAL
Dispute Resolution
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Arbitration
Dispute Resolution Regional Offices
Mediation
Executive Summary
Effective October 6, 2006, NASD will close its Mid-Atlantic Dispute
Resolution Office. All arbitration cases currently assigned to the
Mid-Atlantic Region will continue to be administered by
GUIDANCE
Net Trading Requirements
Effective Date: October 2, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Net TradingRule 2441
Executive Summary
On June 30, 2006, the Securities and Exchange Commission (SEC)
approved new NASD Rule 2441, Net Transactions with Customers,
which
GUIDANCE
Mutual Fund Performance Sales Material
SUGGESTED ROUTING
KEY TOPICS
Advertising
Executive Representatives
Investment Companies
Legal & Compliance
Mutual Funds
Registered Representatives
Senior Management
Mutual Fund Performance Advertising
Fees and ExpensesRule 2210Rule 2211
Executive Summary
On July 5, 2006, the Securities and Exchange Commission (SEC)
approved
GUIDANCE
Options Position and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Options
Senior management
Trading
Training
Exercise Limits
Options
Position LimitsRule 2860
Executive Summary
On August 10, 2006, NASD filed for immediate effectiveness with
the Securities and Exchange Commission (SEC) amendments to Rule 2860 extending until March 1, 2007
GUIDANCE
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Trading
NASDAQ Exchange Registration
Trading Activity Fee
Executive Summary
NASD is issuing this Notice to supersede NASD Notice to Members
(NTM) 06-37 and replace the guidance provided in that Notice
relating to the application of the Trading Activity Fee
GUIDANCE
Correspondence
SUGGESTED ROUTING
KEY TOPICS
Advertising
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
CorrespondenceRule 2211
Executive Summary
On July 26, 2006, the Securities and Exchange Commission (SEC)
approved amendments to NASD Rule 2211, which governs NASD
member institutional sales material and correspondence.1 The