Displaying 4391 - 4400 of 4654 Results
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceMutual Fund*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On July 7, 1992, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 26 of the NASD Rules of Fair Practice relating to asset-based sales charges by mutual funds. The
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Registration and Qualification Requirements
• Churning or Excessive Trading
• Communications With the Public—Late Filing; Failing to File; Failing to Comply With Rule Standards or Use of Misleading Communications
• Customer Account Transfer Contracts—Failure to Comply With Rule Requirements
• Day-Trading Accounts—Failure to Comply With Risk Disclosure Requirements; Failure Appropriatelyto Approve an Account for Day
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
ACTION REQUESTED
Regulation Of Shelf Offerings
Comment Period Expires: October 15, 2001
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Registered Representatives
Senior Management
Trading & Market Making
IM-2440
Mark-Up Policy
Merchant Banking
NASD Rule 2710
NASD Rule 2720
NASD Rule 2810
Shelf
TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers ("Association" or "NASD") is publishing for comment by members and all other interested persons a proposed rule which would establish new requirements for the private securities transactions of persons associated with member firms. The rule would replace in its entirety the
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The NASD will soon file its proposed revision of the NASD Manual with the Securities and Exchange Commission (SEC) for approval, which is expected later this year. Following SEC approval, the NASD will direct the Commerce Clearing House and vendors providing electronic versions of the NASD Manual to convert the
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsOptions
Executive Summary
New uniform provisions regarding the exercise cut-off rules for expiring equity options will become effective commencing with the February 1995 expiration at each of the five registered national options exchanges and the National Association of Securities Dealers, Inc, (the SROs).1 This circular
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of June 28, 1994, the following 68 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,688:
Symbol
Company
Entry Date
SOES Execution Level
ABRX
ABR Information Services Inc.
5/26/94
200
FRES
Fresh America Corp.
5/26/94
500
LZTN
Lazer-Tron Corporation
5/26/94
200
NPSP
NPS
GUIDANCE
Active Military Service
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
Training
Active Military Duty
Continuing EducationIM-1000-2
Inactive Status
Registration RequirementsRule 1021(c)Rule 1031(c)Rule 1041(c)
Transaction-Related Compensation
Executive Summary
On November 15, 2005,