REQUEST FOR COMMENT
Compensation for the Sale of Investment Company Securities
Comment Period Expires: October 17, 2003
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Legal & Compliance
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NASD Rule 2830
Revenue Sharing
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission (SEC) has amended its net capital, recordkeeping, and quarterly securities-count rules under the Securities Exchange Act of 1934 regarding the treatment of repurchase (repo) and reverse repurchase (reverse repo) agreements entered into by registered broker-dealers.
The amendments to SEC Rule 15c3-l will
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Senior ManagementInternal AuditLegal & ComplianceMutual FundTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article III, Sections 26 and 29 of the NASD Rules of Fair Practice. The amendments would revise, simplify, and add a recordkeeping requirement
Clarification Of Notice To Members 96-60
NASD Regulation Inc. (NASD RegulationSM) is issuing this FYI to clar the staff's regulatory intent and purpose in issuing NASD Notice to Members 96-60 (Notice). This FYI describes the substance of advice that the staff has provided in response to individual written inquiries pertaining to the Notice. That Notice was published to clarify member's
INFORMATIONAL
NASD By-Laws Amendments
Effective Date: December 1, 1999
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Legal & Compliance
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Associated Person Definition
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive
The Crypto Asset Developments topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
SummaryEffective May 14, 2025, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will decrease from its current rate of $27.80 per million dollars in transactions to a new rate of $0.00 per million dollars in transactions.Finance-related questions should be directed to Amanda Rath, Associate Director, Revenue Management,
Dear Sir/Madam
Im invested in PSQ and Dog as an insurance policy and investment tool against market declines. It might or might not work out for me as an investment. That makes it no different to me than equities themselves, so I dont understand why I should be restricted from owning while others could. Please do not enact a rule that takes this option away from me and others.
The Series 22 exam — the Direct Participation Programs Limited Representative Exam (DR) — assesses the competency of an entry-level registered representative to perform their job as a direct participation programs representative.
The Series 82 exam — the Private Securities Offerings Representative Exam — assesses the competency of an entry-level registered representative to perform their job as a private securities offerings representative.
