Displaying 31771 - 31780 of 34830 Results
SUGGESTED ROUTING*
Legal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD has initiated an electronic filing system for use by members in submitting Regulation T/SEC Rule 15c3-3 extension requests. Subscribers to this Automated Regulatory Reporting System (ARRS) are encouraged to submit extension
SUGGESTED ROUTING*
Internal Audit
Legal & Compliance
Mutual Fund
Operations
Training
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to subsections (b)(7) — Definitions — and (I) — Dealer
SUGGESTED ROUTING*
Legal & Compliance
Registration
Training
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved an amendment to Schedule C of the By-Laws that establishes waiting periods between
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of June 14, 1989, the following 18 issues joined the NASDAQ National Market, bringing the total number of issues in the NASDAQ National Market to 2,778
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
The correct effective date for the requirement for daily price and volume reporting on all non-NASDAQ OTC
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to the NASD Uniform Practice Code regarding
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Section 59 of the