On This Page
Virtual Arbitration Hearing Statistics
Arbitration Statistics Through December
Historical Statistics for Cases Filed and Closed
Top 15 Controversy Types in Customer Arbitrations
Top 15 Security Types in Customer Arbitrations
Top 15 Controversy Types in Intra-Industry Arbitrations
How Arbitration Cases Close
Results of Customer Claimant Arbitration Award Cases
Result of
In securities transactions, whether in "listed" or "unlisted" securities, if a member buys for his own account from his customer, or sells for his own account to his customer, he shall buy or sell at a price which is fair, taking into consideration all relevant circumstances, including market conditions with respect to such security at the time of the transaction, the expense
On This PageVirtual Arbitration Hearing StatisticsArbitration Statistics Through DecemberHistorical Statistics for Cases Filed and ClosedTop 15 Controversy Types in Customer ArbitrationsTop 15 Security Types in Customer ArbitrationsTop 15 Controversy Types in Intra-Industry ArbitrationsHow Arbitration Cases CloseResults of Customer Claimant Arbitration Award CasesResult of Customer Claimant
(a) General Prohibitions
(1) A member or a person associated with a member may not sell, or cause to be sold, a new issue to any account in which a restricted person has a beneficial interest, except as otherwise permitted herein.
(2) A member or a person associated with a member may not purchase a new issue in any account in which such member or person associated with a member has a beneficial
(a) General Prohibitions
(1) A member or a person associated with a member may not sell, or cause to be sold, a new issue to any account in which a restricted person has a beneficial interest, except as otherwise permitted herein.
(2) A member or a person associated with a member may not purchase a new issue in any account in which such member or person associated with a member has a beneficial
Virtual Arbitration Hearing StatisticsArbitration Statistics Through DecemberHistorical Statistics for Cases Filed and ClosedTop 15 Controversy Types in Customer ArbitrationsTop 15 Security Types in Customer ArbitrationsTop 15 Controversy Types in Intra-Industry ArbitrationsHow Arbitration Cases CloseResults of Customer Claimant Arbitration Award CasesResult of Customer Claimant Arbitration Award
Effective Date: November 1, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTradingTraining
Executive Summary
On August 15, 1994, the Securities and Exchange Commission (SEC or Commission) approved amendments, in part, to Article III, Section 34 (Section 34), of the NASD Rules of Fair Practice prohibiting NASD members or associated persons from
GUIDANCE
Branch Office System Processing Fee
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registration
Senior Management
Branch Office Registration Fee
Branch Office System Processing Fee
Fees
Schedule A to NASD By-Laws
Executive Summary
Effective July 3, 2006, NASD members will be assessed an annual
$20 branch office system processing fee. Also effective July 3, 2006,
SUGGESTED ROUTING
Senior ManagementCorporate FinanceGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining
Executive Summary
The NASD® has created a Member Buying Services department and consolidated responsibility for the operation of its existing sponsored programs under the
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Part 111, Section 5 of Schedule D to the NASD By-Laws to provide nonquantitative designation criteria for limited partnerships that list on the Nasdaq
