Displaying 2051 - 2060 of 34826 Results
INFORMATIONAL
SEC Interpretive Guidance
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Trading & Market Making
Blank Check Companies
Freely Tradeable Securities
Executive Summary
A unit of the NASD Regulation, Inc. (NASD RegulationSM) Market Regulation Department recently asked the Securities and
INFORMATIONAL
Restrictions On Unregistered Persons
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Training
Cold Calling
Telemarketing
Unregistered Persons
Executive Summary
In light of recent federal law, NASD Regulation, Inc. (NASD RegulationSM) has withdrawn its rule proposal addressing the
INFORMATIONAL
Margin Requirements
Effective Date: August 21, 2000
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Institutional
Legal & Compliance
Operations
Options
Systems
Margin
NASD Rule 2520
Options
Executive Summary
On May 30, 2000, the Securities and Exchange Commission (SEC) approved amendments
INFORMATIONAL
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) and the exchanges recently submitted a decimalization plan to the Securities and Exchange Commission
INFORMATIONAL
Interval Funds
Effective Date: June 20, 2000
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Mutual Fund
Registered Representatives
Mutual Funds
NASD Rule 2710
NASD Rule 2830
Underwriting Compensation
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) has adopted amendments to National Association of Securities Dealers, Inc. (NASD®)
INFORMATIONAL
Ex-Dividend Dates
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Trading & Market Making
Ex-Dividend Dates
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) Uniform Practice Code (UPC) governs, among other things, the designation of "ex-dividend dates" (ex-dates) for
INFORMATIONAL
Arbitration Awards
Effective Date: September 18, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Arbitration Awards
Motions To Vacate
Nonpayment Of Awards
Suspension Proceedings
Executive Summary
To respond to concerns raised by the General Accounting Office, NASD Dispute Resolution, Inc. (formerly the
INFORMATIONAL
Code Of Procedure
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Code Of Procedure
Disciplinary Action Appeals
Document Production
Eligibility and Qualification Standards
Failure to Respond
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of July 20, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
CHCG.GE
Charter Comm Hldgs Cap Corp.
11.750
01/15/10
CHCG.
INFORMATIONAL
Trade Date — Settlement Date
SUGGESTED ROUTING
KEY TOPIC
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date — Settlement Date Schedule
Labor Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Monday, September 4, 2000, in