SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Syndicate
Executive Summary
On June 1, 1995, the Securities and Exchange Commission (SEC) approved amendments to Part II, Section 1(c) of Schedule D to the NASD By-Laws and Section 11 of the NASD's Uniform Practice Code.1 The amendments require that for a domestic security2 to be
I’m addition to these proposals, I would like to see stricter enforcement of the Securities Act of 1934 as it pertains to fictitious trading and spreading rumors as a method of price manipulation. As well as stricter rules for dark pool markets. Thank you for everything you do.
GUIDANCE
Research Analysts and Research Reports
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Fixed Income
Investment Banking
Legal & Compliance
Operations
Research
Senior Management
Research Conflicts of Interest
SEC Regulation Analyst Certification
Supervision
Rule 2711
Rule 3010
Background
In December 2005, the New York Stock Exchange (NYSE) and NASD
(the
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Section 4(c) of Schedule A to the FINRA By-Laws to establish an administration and delivery fee for the new Municipal Advisor Principal Examination (“Series 54 examination”).
(a) Definitions
For purposes of this Rule and any interpretation thereof:
(1) "Options communications" consist of:
(A) "Correspondence." Any "Correspondence" as defined in Rule 2210(a)(2) concerning options.
(B) "Institutional Communication." Any "Institutional Communication" as defined in Rule 2210(a)(3) concerning
TO: All NASD Members
The Securities and Exchange Commission recently issued proposals designed to clarify the obligations of brokers and issuers under its previously adopted direct communications program. The SEC had earlier mandated a program for issuers' direct communications with beneficial shareowners to go into effect on January 1, 1985.
However, on August 17, 1984, with the full
SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & ComplianceMutual FundRegistrationTraining
Executive Summary
The NASD is publishing this Notice to remind members, particularly members affiliated with banks or participating in bank networking arrangements, of their obligations under the Rules of Fair Practice to disclose to customers the varying risks of investing the
GUIDANCEExecutive RepresentativesEffective Date: May 14, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementExecutive RepresentativeRule 1150Executive SummaryOn March 29, 2004, the Securities and Exchange Commission (SEC) approved a rule change to require members to review and, if necessary, update their executive representative designation and contact information
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Mutual Fund
Operations
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to the NASD mutual fund maximum sales charge rule that would subject
