SUGGESTED ROUTING
Senior ManagementInternal AuditLegal & ComplianceOperations
Executive Summary
On February 15, 1994, the Securities and Exchange Commission (SEC) asked the NASD to alert its members to a possible fraud involving cancelled General Motors Corporation common stock certificates. The certificates involved were issued prior to January 1, 1984.
Background
According to
Summary
Last year, FINRA took several steps to engage with members regarding their current and planned activities relating to digital assets. These efforts included the issuance of Regulatory Notice 18-20, which encouraged firms to keep their Regulatory Coordinator informed if the firm, or its associated persons or affiliates, engaged, or intended to engage, in activities related to digital
When you buy a stock, you're buying part ownership of a company and an opportunity to partake in its successes (or failures) over time, but it can be hard to compare different stocks. A company’s earnings per share (EPS), price-to equity ratio (P/E) and other ratios can help you compare companies of different sizes.
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On June 29; 1992. the SEC approved amendments to Schedule D of the NASD By-Laws regarding confirmation disclosure requirements for Nasdaq Small-Cap stocks. The new rules require members to furnish specific
NASD 2002 Renewals Program
REQUEST FOR COMMENT
Branch Office Definition
Comment Period Expires: September 20, 2002
SUGGESTED ROUTING
KEY TOPICS
CRD
Legal & Compliance
Member Regulation
Operations
Senior Management
Branch Office Definition
Rule Modernization
Rule 3010(g)(2)
Executive Summary
NASD requests comment from members, investors, and other interested parties on proposed
REQUEST FOR COMMENT
Investment Analysis Tools
Comment Period Expires: September 13, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Senior Management
Investment Analysis Tools
Rule 2210
Executive Summary
NASD Rule 2210(d)(2)(N) prohibits NASD member firms from making predictions or projections of investment results to the
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD recently completed a study of secondary market trading in direct participation program (DPP) securities. As a result, this notice is being issued to emphasize the applicability and relevance of certain NASD rules
INFORMATIONALMarginSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceOperationsSenior ManagementCustomer DisclosuresMargin Executive SummaryOn September 5, 2000, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) a rule proposal that would require members to deliver to non-institutional customers a specified
