FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs
GUIDANCE
Equity-Indexed Annuities
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Equity-Indexed Annuities
Rule 3030 (Outside Business Activities
of an Associated Person)
Rule 3040 (Private
IMMEDIATE ACTION REQUIRED
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Background
In late 2002, as a result of several routine examinations, NASD discovered that some members had
INFORMATIONAL
Certificates of Deposit
Effective Date: October 8, 2002
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Executive Summary
NASD is issuing this Notice to supersede NASD Notice to Members 02-28 (Notice or Notice 02-28) and replace the guidance offered in Notice to
REQUEST FOR COMMENT
Regulation of IPO Allocations and Distributions
Comment Period Expires: September 9, 2002.
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NASD Rule 2710
NASD Rule 2712
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Executive Summary
On December 23, 1993, the Securities and Exchange Commission (SEC) issued an order approving amendments to the Rules of Practice and Procedure for the Small Order Execution System (SOESSM). The new rules prohibit short sales in SOES; reduce the largest eligible SOES order
INFORMATIONAL
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Executive Summary
On June 19, 2001, the Securities and Exchange Commission (SEC)
Comment Period Expires May 31, 1999
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Registration
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: AUGUST 22, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Schedule C to the By-Laws that would establish a new level of registration — below the level of "Representative" — for persons in member firms whose activities are limited to providing current securities quotations and
As prepared for delivery
Electronic Trading in the Bond Markets
Good morning. Thank you [Mark Monahan] for that introduction. I’m pleased to have this opportunity to join today’s conversation on the increasing automation of fixed income markets.
Many of us have been in the securities business long enough to appreciate how the first electronic trading system—the NASDAQ quotation system that was
