Executive Summary
Effective July 1, 1996, NASD Regulation, Inc. (NASD Regulation) will begin accepting appointments at the Certification and Training Center in London, England, at which registered representatives can complete the computer-based training required under the Regulatory Element of the securities industry Continuing Education Program (CEP). Also effective July 1, NASD Regulation
Executive Summary
The Membership Department would like to remind members of the importance of keeping the names of executive representatives, as well as mailing addresses for branch offices, up-to-date. Making certain that the Central Registration Depository (CRDSM) is kept informed of changes in address and contact people, ensures that regular Notices and special mailings will be directed
Executive Summary
NASD Regulation, Inc. (NASD Regulation) recently has observed a correlation between sharp increases in the volume of electronic messages relating to certain low-priced securities and dramatic increases in the price, volatility, and volume of these securities. Often, these messages are sent without attribution to a large, undifferentiated universe of Internet or on-line
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As of June 28, 1996, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
APSO.GA
Apple South Inc
9.750
6/1/06
CNC.GB
Conseco Inc
10.500
12/15/04
PENT.GA
Penn Traffic Company
10.250
2/15/02
TOS.GD
Tosco Corp
7.625
Executive Summary
The NASD® requests member comments on proposed amendments that would revise existing rules applicable to the sale of variable life insurance contracts and establish new rules applicable to the sale of variable annuity contracts. The proposed amendments incorporate definitions and provisions from the current rules for variable contracts and investment company securities and the
Executive Summary
The Securities and Exchange Commission (SEC) has approved amendments to the definitions of "Bona Fide Independent Market" and "Bona Fide Independent Market Maker" in Rule 2720 of the NASD's Conduct Rules (Rule) (formerly Schedule E to the NASD's By-Laws). The approved amendments revise the definitions to determine eligibility for an exception from
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) again reminds members of their reporting obligations under Municipal Securities Rulemaking Board (MSRB) Rules G-37 and G-38. Members are required to submit Form G-37/G-38 to the MSRB within 30 calendar days after the end of each calendar quarter if any one of the following occurred during the reporting period: reportable political
Executive Summary
Release 2.0 is the new, improved version of the Training Analysis and Planning Tool designed to help NASD® members comply with the Firm Element of the securities industry Continuing Education Program. The Firm Element applies to registered persons or their supervisors who deal directly with customers in conducting sales, trading, and investment banking activities for member
SEC Approves New NASD Qualification Requirements for Supervisors of Research Analysts; Compliance Date: No Later Than August 2, 2005
REQUEST FOR COMMENT
Order Audit Trail System (OATS)
Comment Period Expires: January 20, 2005
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Executive Summary
NASD is issuing this Notice to Members to solicit comments from members
