REQUEST FOR COMMENT
New Products Sales Material and
Television, Video, and Radio
Advertisements
Comment Period Expires May 20, 2005
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NASD Rule 2210
Executive Summary
NASD is proposing to amend
I am Barry R. Goldsmith, Executive Vice President for Enforcement of NASD Regulation, Inc. (NASDR). NASDR and its parent, the National Association of Securities Dealers, Inc. (NASD®), would like to thank the Subcommittee for this opportunity to testify at today’s hearing.
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Executive Summary
As requested by the Department of Treasury (Treasury), the National Association of Securities Dealers, Inc. (NASD®) provides members with information from the Office of Foreign Assets Control (OFAC) about persons and entities identified as "Specially
(a) Members or associated persons seeking to expunge information from the CRD system arising from disputes with customers must obtain an order from a court of competent jurisdiction directing such expungement or confirming an arbitration award containing expungement relief.
(b) Members or associated persons petitioning a court for expungement relief or seeking judicial confirmation of an
The first Annual Meeting of the Financial Industry Regulatory Authority (FINRA) members will be October 26, 2007.
The formal notice of the meeting, including the time and location, will be mailed on or about September 21, 2007. The individuals nominated by the former NASD Board of Governors and/or the Board of Directors of NYSE Group, Inc. for election to the FINRA Board of Governors (FINRA
NASD, in conjunction with an industry working group, developed the outline provided below in response to Recommendation J of the Report of the Joint NASD/Industry Task Force on Breakpoints, which recommended that member firms provide enhanced training regarding mutual fund breakpoint discounts.
This outline is intended as a model of the critical topics that firms should address in training
February 1, 2001The first quarter 2001 software release for OATS contains two enhancements that will significantly affect NASD member firms, service bureaus, and clearing firms.The first enhancement is to empower member firms with the ability to control who submits order data on their behalf. OATS will give member firms the ability to set up reporting relationships with their Order Sending
ACTION REQUIRED
PORTAL-Designated Equity Securities Directory
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ACT
PORTAL
Executive Summary
Nasdaq® is publishing a list of PORTAL®-designated equity securities for the reporting requirements of PORTAL equity transactions that will be effective on June 16, 2001.
On March
GUIDANCE
Mutual Fund Performance Sales Material
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Rule 2210
Rule 2211
Executive Summary
On July 5, 2006, the Securities and Exchange Commission (SEC)
NASD has filed with the SEC a proposed rule change to require the posting of certain investor disclosure statements on members’ Web sites. Specifically, the proposed rule change would amend (1) Rule 2341 (Margin Disclosure Statement) to require members that permit customers to open accounts on-line or to engage in transactions in securities on-line to post the margin disclosure statement on their
