INFORMATIONAL
Instant Messaging
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Senior Management
Operations
Trading and Market Making
Electronic Communications
Communications with the Public
Recordkeeping
Executive Summary
NASD is clarifying for members their supervisory obligations and recordkeeping requirements
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Mutual Fund
Registration
Training
Executive Summary
NASD Regulation, Inc. (NASD Regulation) reminds NASD® members and their associated persons who sell variable life insurance contracts and variable annuity contracts (Variable Contracts) of their obligations with respect to the suitability requirements of the NASD Conduct
GUIDANCE
Qualification Examinations
Implementation Date: November 30, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Training
Limited Principal—General Securities Sales Supervisor (Series 9/10)
Limited Principal—Registered Options (Series 4)
Limited Representative—Investment Company and Variable Contracts Products (Series 6)
Rule 1022(f)
Rule 1022(g
The following links should be helpful when filing online for your firm and associated individuals:CRD System and Related LinksElectronic Fingerprint ProcessingElectronic Fingerprint Submission (EFS)Filing Guidance Related to Registration FormsCurrent Uniform Registration Forms for Electronic Filing in CRD (U4, U5, U6, BR, BD, and BDW)Investment Adviser Representative (RA) Form Filing
I as an American citizen should have access to these products, not left only for the rich. The entire stock market is a complex beast, but with research there are many tools to become more informed. I am capable of making my own informed decisions. We as small investors should not have to jump through hoops that others do not. There are already so many restrictions and we should not have any more
(a) Except as provided in paragraph (b), no member that is promoting a day-trading strategy, directly or indirectly, shall open an account for or on behalf of a non-institutional customer unless, prior to opening the account, the member has furnished to each customer, individually, in paper or electronic form, the disclosure statement specified in this paragraph (a). In addition, any member
I am in favor of these proposed rule changes. Specifically the disclosing of synthetic positions. It is vital that this information be made available to combat predatory trading practices. Practices that artificially destroy businesses and lives. If we cannot eliminate the loophole that allows for synthetic naked shorting, getting as much information made public is the next best thing. Perhaps it
I am a retail investor that has been successfully trading in leveraged investment vehicles for more than four years. These vehicles are important to my personal investment style and I am very comfortable with the EFT I have chosen.
Through my own study of the EFT and the prospectus provided by the fund, I am well acquainted with the risks inherently involved in the purchase and sale of my chosen
Dissemination of Qualified Contingent Trades Reported to FINRA
September 25, 2006On September 14, 2006, NASD filed a proposed rule change (SR-NASD-2006-108) to establish a new Trade Reporting Facility in conjunction with the National Stock Exchange ("NSX") that would provide members another mechanism for reporting trades in Nasdaq-listed equity securities effected otherwise than on an exchange.NASD is issuing this OATS Report to inform members that
