Displaying 581 - 590 of 34816 Results
GUIDANCE
Gifts and Gratuities
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Executive Representatives
Internal Audit
Legal & Compliance
Registered Representatives
Senior Management
Gifts
GratuitiesRule 3060
Executive Summary
As a result of a recent review of gift and gratuity practices at member firms, NASD has become aware of several
GUIDANCE
Customer Account Statements
SUGGESTED ROUTING
KEY TOPICS
Institutional Customers
Legal & Compliance
Operations
Senior Management
Clearing Firms
Customer Account Statements
DVP/RVP (Delivery versus Payment/
Receive versus Payment)
NASD Rule 2340
NASD Rule 3110
NASD Rule 11860
SEC Rule 10b-10
SEC Rule 15c3-2
SEC Rule 17a-4
Executive Summary
The Securities and
GUIDANCE
Alignment of NASD Rules with Regulation NMS
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
ADF Trading Centers
Alternative Display Facility (ADF)
Regulation NMS
Trade Reporting
Executive Summary
On September 28, 2006, the Securities and Exchange Commission
(Commission or SEC) approved
INFORMATIONAL
District and National Adjudicatory Council Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the election results for the
District Committees, the District Nominating Committees and the
National Adjudicatory Council (NAC). The candidates
GUIDANCE
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education
(Council) has issued the annual Firm Element Advisory, a guide for
firms to use when developing their continuing education Firm
GUIDANCE
Dispute Resolution
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Arbitration
Arbitrators
Dispute Resolution
Executive Summary
The Securities and Exchange Commission has approved amendments
to the arbitrator classification criteria set forth in Rule 10308 of
the NASD Code of Arbitration Procedure (Code) to ensure that
individuals with significant ties to the
GUIDANCE
Security Futures Rules
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Registered Principals
Senior Management
Continuing EducationRule 1022 (Categories of Principal
Registration)Rule 1032 (Categories of
Representative Registration)
Security Futures
Executive Summary
On October 16, 2006, NASD filed with the
GUIDANCE
Extension of Time Requests
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Operations
Extension of Time Requests
NASD Rule 3160
Regulation T
SEC Rule 15c3-3
Executive Summary
On September 15, 2006, the Securities and Exchange Commission (SEC) approved new NASD Rule 3160 that requires: (1) all clearing firm members for
ACTION REQUIRED
Electronic Filing Requirements
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Electronic Filing Requirements
NASD Rule 3170
NASD Advises Firms That Certain Notices Required
under the Securities Exchange Act of 1934 Must Be Filed
Electronically Starting on January 1, 2007
Executive Summary
The Securities and Exchange Commission (
NTM 06-60 is superseded by NTM 06-72GUIDANCE
Customer Account Statements
SUGGESTED ROUTING
KEY TOPICS
Individual Investors
Legal & Compliance
Operations
Registered Representatives
Senior Management
Clearing Firms
Customer Account Statements
Introducing Firms
NASD Rule 2340
SIPA (Securities Investor
Protection Act)
SIPC (Securities