Displaying 17661 - 17670 of 34027 Results
Notice to Members 03-41
INFORMATIONAL Fingerprint Processing Fees Implementation Date: July 15, 2003 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Registered Representatives Senior Management Fingerprint Processing Fees NASD By-Laws Executive Summary This Notice supersedes NASD Notice to Members 03-39. NASD is issuing this Notice to
Notice to Members 03-42
INFORMATIONAL Revised Forms U4 and U5 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registered Representatives Registration Senior Management Training Central Registration Depository Form U4 Form U5 Statutory Disqualification Executive Summary The Securities and Exchange Commission (SEC
Notice to Members 03-43
View Trading Activity Fee Self-Reporting Form Executive Summary On July 28, 2003, the Securities and Exchange Commission (SEC or Commission) approved an NASD rule filing amending the Trading Activity Fee (TAF) to establish a new rate for covered equity securities.1 NASD had been collecting the TAF and determined that the equity rate needed to be increased to ensure adequate funding levels for
Notice to Members 03-44
ACTION REQUIRED Research Analysts and Research Reports SUGGESTED ROUTING KEY TOPICS Executive Representative Legal & Compliance Senior Management Operations Research Reports Qualification and Registration Continuing Education Requirements Advertising Investment Banking Executive Summary On July 29, 2003
Notice to Members 03-45
INFORMATIONAL Corporate Debt Securities SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal and Compliance Operations Senior Management Technology Trading and Market Making Training Underwriting Debt Securities Operations Rule 6200 Series Transaction Reporting Executive Summary On August 8, 2003, the
Interpretive Letter to Steven F. Gatti, Esq., Clifford, Chance, Rogers & Wells
<p>Electronic Batch Approval of New Customer Accounts.</p>
Interpretive Letter to Alan Feldstein, Esq., Development Corporation for Israel
Application of Customer Account Information and Suitability requirements to member selling one type of security to narrow target audience.
Interpretive Letter to Angela Coronado, Brecek & Young Advisors, Inc.
Collection of customer information from account application forms.
Interpretive Letter to Jeffrey W. Kilduff, Esq., O'Melveny & Myers, LLP
<p>Permissibility of electronic signatures under NASD Rules 3010(d) and 3110(c)(1)(C).</p>
Interpretive Letter to Name Not Public
Requirements of member firms in maintaining do-not-call lists under NASD Rule 3110.