Remarks From the Security Traders Association Annual Conference
INFORMATIONAL
Dispute Resolution Subsidiary
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Arbitration
Dispute Resolution
Mediation
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own
SUGGESTED ROUTING
Senior Management
Executive Representatives
Legal & Compliance
Registration
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Training
Executive Summary
The Securities and Exchange Commission (SEC) recently approved amendments to the National Association of Securities Dealers, Inc. (NASD®)
Comment Period Expires: January 30, 1997
SUGGESTED ROUTING
Senior Management
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Internal Audit
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Executive Summary
NASD Regulation, Inc. (NASD Regulation) requests comment on proposed amendments to NASD® Conduct Rules 3010 (Supervision) and 3110 (Books and Records) (formerly Article III, Sections 27 and 21 of the NASD
Remarks by Chairman and CEO Rick Ketchum at the Research Center on the Prevention of Financial Fraud 2011 Conference
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceOperationsSyndicate
Executive Summary
The NASD requests comment on proposed amendments to the Free-Riding and Withholding Interpretation under Article III, Section 1 of the Rules of Fair Practice. These amendments would change a number of the Interpretation's provisions. The complete text of the
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Senior Management
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Municipal
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SUGGESTED ROUTING*
Senior Management
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REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The Board of Governors ("Board") has approved the recommendations of the Special Committee on NASD Structure and Governance ("Special Committee").
Notice of Annual Meeting of FINRA Firms and Proxy
TO: All NASD Members
The Securities and Exchange Commission has adopted a number of amendments to Rule 17f-2 concerning the fingerprinting of securities industry personnel. These revisions are intended to simplify the process of claiming exemptions by clarifying existing provisions of the rule and by incorporating in the rule other exemptions previously granted by the Commission on a case-by-
