Displaying 5801 - 5810 of 34836 Results
<p>Electronic Batch Approval of New Customer Accounts.</p>
Application of Customer Account Information and Suitability requirements to member selling one type of security to narrow target audience.
Collection of customer information from account application forms.
<p>Permissibility of electronic signatures under NASD Rules 3010(d) and 3110(c)(1)(C).</p>
Requirements of member firms in maintaining do-not-call lists under NASD Rule 3110.
Satisfying third party download provider requirements of the SEC's rules for electronically stored records.
<p>Direct payments of securities-based compensation by a member to the associated persons of another member are not permitted under NASD Rules 2820(g) and 2830(l) absent an SEC No-action letter or interpretive release. Further, proposed arrangement may require dual registration of associated persons.</p>
Application of registration requirements to persons inquiring about potential clients' present accounts and other firms and current securities trades.
A registered representative presently licensed with a member providing telemarketing services, under certain conditions, would not be required to also be registered with a client member.
<p>Applicability of NASD Rule 3070 to the operations of a mutual fund and variable product distributor broker/dealer.<br /></p>