NASD has filed with the SEC a proposed rule change to NASD Rule 2330(e) to clarify that members and their associated persons are prohibited from guaranteeing any customer against loss in connection with any securities transaction or in any securities account of such customer. In addition, NASD is proposing that associated persons obtain written authorization from their employing member firm and
Rule Change to Amend NASD Code of Procedure Rule 9522
NASD Regulation, Inc., has filed with the SEC a proposed rule change to require, as part of a subordination agreement, the execution of a Subordination Agreement Investor Disclosure Document ("Disclosure Document").
NASD Regulation, Inc., has filed with the SEC a proposed rule change to establish NASD Rule 2711 to address research analyst conflicts of interest.
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rule 3070 regarding the reporting of criminal offenses of associated persons.
NASD has filed with the SEC a proposed rule change to amend the NASD Rule 6200 Series regarding Trade Reporting And Compliance Engine (TRACE).
NASD has filed with the SEC revisions to the examination specifications and study outline for the Limited Principal—Financial and Operations (Series 27) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination and to reflect more accurately the duties and responsibilities of a Series 27 principal.
NASD has filed with the SEC revisions to the examination specifications and study outline for the Limited Representative—Private Securities Offerings (Series 82) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination and to reflect more accurately the duties and responsibilities of a private securities
NASD has filed with the SEC revisions to the examination specifications and study outline for the Limited Representative—Equity Trader (Series 55) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination.
