Displaying 1771 - 1780 of 33882 Results
Notice to Members 01-78
INFORMATIONAL Quarterly Disciplinary Update SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Registered Representatives Senior Management Training Disciplinary Information Executive Summary The NASD Regulation, Inc. (NASD Regulation) Office of General Counsel (OGC) announces the quarterly distribution of a new publication entitled the
Notice to Members 02-27
INFORMATIONAL Membership And Registration Rules SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registration Training Direct Participation Programs Limited Principal (Series 39) Direct Participation Programs Limited Representative (Series 22) Equity Trader Limited Representative (Series 55) Financial and
Notice to Members 01-79
INFORMATIONAL Selling Away And Outside Business Activities SUGGESTED ROUTING KEY TOPICS Executive Representatives Insurance Legal & Compliance Operations Registered Representatives Senior Management Outside Business Activities Private Securities Transactions Promissory Notes NASD Rule 3030 NASD Rule 3040 Supervision Executive Summary NASD Regulation, Inc. (
Notice to Members 02-28
INFORMATIONAL Certificates Of Deposit SUGGESTED ROUTING KEY TOPICS Executive Representative Legal & Compliance Trading Operations Senior Management Long-Term or Brokered Certificates of Deposit Executive Summary Members increasingly have been offering to customers a number of non-traditional certificate of deposit (CD) products. Typically, these products are
Notice to Members 02-29
INFORMATIONAL OATS SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Operations Senior Management Order Audit Trail System Executive Summary NASD Regulation, Inc. (NASDR) is issuing this Notice to
Notice to Members 01-80
INFORMATIONAL Books And Records Rules SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Senior Management Books and Records Exchange Act Rule 17a-3 Exchange Act Rule 17a-4
Notice to Members 02-30
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of March 22, 2002, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity ARGI.GE American Restaurant Group Inc
Notice to Members FYI June 2002
Submission of PAIB Computation in FOCUS Filings; Reporting INSITE Data
Notice to Members 01-81
INFORMATIONAL Conduct Of Business Abroad SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registration Senior Management Business Abroad Executive Summary The National Association of Securities Dealers, Inc. (NASD®) is issuing this Notice to Members as part of its continuing effort to provide members with guidance on complying with rules that govern
Notice to Members 01-82
INFORMATIONAL Trade Date — Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date—Settlement Date Schedule Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule The Nasdaq Stock Market® and the securities exchanges will be closed