Permissible activities for a Series 6 Representative (Limited Representative - Investment Company and
INFORMATIONAL
Sanction Guidelines
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
NASD Sanction Guidelines
Rule 3030
Outside Business Activities
Rule 3040
Selling Away
Recidivists
Executive Summary
The NASD Sanction Guidelines (
To increase the parties' input into selecting replacement arbitrators, FINRA allows parties to agree to review a "short list" of potential arbitrators to find a replacement. FINRA will notify parties by letter of the option to stipulate to the use of a short list to select a replacement arbitrator. Parties are free to use a short list by mutual agreement at all stages of the
Submit to FINRA a signed/notarized hard copy CRD printout of Form BD. Make sure the firm’s Financial and Operations Principal (FINOP) is listed on Schedule A of Form BD.
Submit Form BR requesting registration of at least one branch office location. Learn more about branches on the Manage a Branch Office Registration page.
Request principal registration for at least two
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered
IMPORTANT
TO: All NASD Members and Other Interested Persons
Over the past several months, some questions have arisen relating to members' procedures when executing transactions for their own accounts while in possession of unexecuted customer limit orders for over-the-counter securities. In May 1984, the NASD Board of Governors appointed an Ad Hoc Committee on Limit Orders to review members
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, November 20, 1984, 40 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,142. These 40 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
Comment Period Expires March 31, 1994
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceRegistrationTrading
Executive Summary
At its January 1994 meeting, the NASD Board of Governors approved the issuance of a Notice to Members soliciting comment on amendments to the foreign associate provisions in Part X of Schedule C to the NASD By-Laws. These amendments would
(a) General Telemarketing Requirements
No member or person associated with a member shall initiate any outbound telephone call to:
(1) Time of Day Restriction
Any residence of a person before the hour of 8 a.m. or after 9 p.m. (local time at the called party's location), unless
(A) the member has an established business relationship with the person pursuant to paragraph (m)(12)(A),
(B)
ACTION REQUIRED
Expense-Sharing Agreements
SUGGESTED ROUTING
KEY TOPICS
Accounting
Executive Representatives
Internal Audit
Legal & Compliance
Operations
Senior Management
Expense-Sharing Agreements
Net Capital
Recordkeeping
SEC Rule 15c3-1
SEC Rules 17a-3, 17a-4, and 17a-5
Executive Summary
On
