SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Research
Systems
Trading
Executive Summary
In December 1997, NASD Regulation, Inc. (NASD RegulationSM) sent a compliance survey (Special Notice to Members 97-96) to find out the status of member firms' Year 2000 efforts. Member firms have the responsibility to determine the readiness of their internal
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That [REDACTED]. Stop violating my rights. I have the Constitutional right to buy what I want without being subjected to your idiotic,unconstitutional [REDACTED] and violation of my rights. You all work for me and the rest of America it's Time for you to do what you are told to do by the people not what you want to do or what you are paid under the table out of site to do that goes against
(a) Members or associated persons seeking to expunge information from the CRD system arising from disputes with customers must obtain an order from a court of competent jurisdiction directing such expungement or confirming an arbitration award containing expungement relief.
(b) Members or associated persons petitioning a court for expungement relief or seeking judicial confirmation of an
