NASD has filed with the SEC a proposed rule change to amend Section 4 of Schedule A to the NASD By-Laws by establishing a late fee to be assessed against NASD members that fail timely to report on an initial Form U5, an amendment to a Form U5, or an amendment to a Form U4 a new disclosure event or a change in the status of a previously reported disclosure event.
(a) No member or person associated with a member shall cause to be executed an order to buy or sell a security or a related financial instrument when such member or person associated with a member causing such order to be executed has material, non-public market information concerning an imminent block transaction in that security, a related financial instrument or a security underlying the
NASD has filed with the SEC a proposed rule change to amend NASD Interpretive Material 8310-2 ("IM-8310-2") to enhance investor protection by expanding the types of information NASD makes available through its public disclosure program; to address fairness and privacy concerns by excluding certain information currently disclosed through the program based on the status or disposition of
NASD has filed a proposal to conduct background verification and charge an application fee for NASD neutral roster applicants. NASD is not proposing any textual changes to the By-Laws or Rules of NASD.
<p>Secondary market trading in Select Sector SPDR Funds does not violate Rule 2830(c) and (g).<br/></p>
NASD has filed with the SEC a proposed rule change to amend Section 4(b) of Schedule A to the NASD By-Laws (hereinafter referred to as "Section 4(b)") to: (1) increase the $10.00 charge for each set of fingerprints submitted by a member to NASD for processing to $13.00; and (2) establish a $13.00 charge to be paid to NASD for posting each set of fingerprint results processed by another
NASD has filed with the SEC a proposed rule change to delay, until January 1, 2004, the implementation date of recent amendments to Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc. that were established by SR-NASD-2003-55. NASD filed SR-NASD-2003-55 to streamline the nomination and election processes governing NASD District Committees
All my liberty's seem to be under attack I can choose how to invest with out regulatory over reach. I dont need need or want this proposal. You do not need to protect me from myself I am perfectly capable to choose investments. Please keep your rules out of my life.
NASD has filed with the SEC a proposed rule change relating to the new General Securities Principal Sales Supervisor Module (“Series 23”) examination program. NASD is proposing to accept the General Securities Sales Supervisor (“Series 9/10”) examination as an acceptable qualification alternative to the General Securities Principal (“Series 24”) examination for associated persons who are required
Allow us the right to invest what we want. Why does the government always think they can control what its people do? If we had all these rules in place when this country was founded we would cease to exist as country. It's our hard earned money we are investing.
