Displaying 601 - 610 of 34822 Results
GUIDANCE
Portfolio Margin Program
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Margin
Operations
Senior Management
Margin Requirements
Portfolio MarginRule 2520Rule 2860
Executive Summary
On February 12, 2007, NASD filed with the Securities and Exchange Commission (SEC) for immediate effectiveness a rule change to amend Rule 2520 to permit members to
GUIDANCE
NASD BrokerCheck
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Training
BrokerCheck
Form BD (Uniform Application for
Broker-Dealer Registration)
Form BDW (Uniform Application for
Broker-Dealer Withdrawal)
Form U4 (Uniform Application for
Securities Industry Registration or
Transfer)
Form U5 (Uniform
GUIDANCE
NASD's Trading and Quotation Halt Authority Expanded
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
IM-6660-1
OTC Equity Securities
QuotationsRule 6660
Trading Halts
Executive Summary
On December 18, 2006, the Securities and Exchange Commission
(SEC) approved amendments to NASD Rule 6660 to expand the
GUIDANCE
Options Position and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Options
Senior Management
Trading
Training
Exercise Limits
Options
Position LimitsRule 2860
Executive Summary
On January 25, 2007, NASD filed for immediate effectiveness with
the Securities and Exchange Commission (SEC) amendments to
Rule 2860 extening until September 1, 2007
GUIDANCE
Code of Arbitration Procedure
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Registered Representatives
Senior Management
Training
Arbitration
Code of Arbitration Procedure
Dispute Resolution
Mediation
Executive Summary
The Securities and Exchange Commission (SEC) has approved the
NASD Codes of Arbitration Procedure for Customer and Industry
Disputes (hereinafter referred to
GUIDANCE
Supervision of Recommendations after a Registered Representative Changes Firms
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal and Compliance
Operations
Senior Management
Mutual Funds
Registered RepresentativesRule 11870
Supervision
Variable Products
Executive Summary
Registered representatives with an established customer base
may, from time to time, change their
GUIDANCE
Corporate Financing Fee
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing
Legal and Compliance
Senior Management
Operations
Corporate Financing
Fees
Public OfferingsRule 2710Rule 2720Schedule A to NASD By-Laws
Well-Known Seasoned Issuers (WSKIs)
Executive Summary
On January 24, 2007, NASD filed with the Securities and Exchange
Commission (SEC) for immediate effectiveness a rule
GUIDANCE
Research Analysts and Research Reports
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Investment Banking
Legal & Compliance
Operations
Research
Senior Management
Communications with the Public
Investment Banking
Research AnalystsRule 2711
Executive Summary
NASD has filed for immediate effectiveness a proposed rule change
to codify certain interpretations under Rule
Reportable Options Positions, Options Position Limits and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Options
Legal and Compliance
Institutional
Senior Management
Operations
Trading
Aggregation
Exercise Limits
Index Options
Large Options Position Reporting
Options
Position LimitsRule 2860
Executive Summary
On November 15, 2006, the Securities and Exchange Commission
(SEC) approved a
ACTION REQUIRED
Broker-Dealer and Investment Adviser Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representative
Registration
Senior Management
IARDSM
Maintenance Fees
Renewals
Registration
Web CRD®
Executive Summary
The 2007 NASD Registration Renewal Program will begin on