NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
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
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
The Neutral Corner, Volume 6—2008
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
