ACTION REQUESTED
Required Disclosures For Securities Recommendations
Comment Period Expires August 15, 2001
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KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Analyst Disclosures
Communication With The Public
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment from National
Additional Guidance on FINRA’s New Suitability Rule
The Municipal Continuing Disclosure Report displays statistics about transactions that your firm effected with customers. The report provides relevant information about the availability of official statements, annual financial filings, and event filings on the MSRB's Electronic Municipal Market Access system (EMMA) at the time the securities were sold or purchased. Specifically, the report
Remarks From the Consumer Federation of America Consumer Assembly
Remarks from the Bond Dealers Association Annual Conference
Frequently Asked Questions (FAQ) covering reporting of corporate and agencies debt, reporting of mortgage and asset backed securities to the Trade Reporting and Compliance Engine (TRACE)
SEC Approval and Effective Dates for New Consolidated FINRA Rules
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Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceMunicipalOperationsSystems
Executive Summary
On April 11, 1994, The Nasdaq Stock Market, Inc., began operation of the Fixed Income Pricing System (FIPS) for members trading high-yield bonds. Initially, 35 bonds were designated as FIPS issues requiring quotation entry by brokers and dealers. The
Remarks by Chairman and CEO Rick Ketchum at the Security Traders Association Annual Conference
GUIDANCE
Active Military Service
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Continuing Education
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IM-1000-2
Inactive Status
Registration Requirements
Rule 1021(c)
Rule 1031(c)
Rule 1041(c)
Transaction-Related Compensation
Executive Summary
On
