GUIDANCE
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2007
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representative
Registration
Senior Management
IARDSM
Maintenance Fees
Registration
Renewals
Web CRD®
GUIDANCE
Gifts and Gratuities
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Executive Representatives
Internal Audit
Legal & Compliance
Registered Representatives
Senior Management
Gifts
Gratuities
Rule 3060
Executive Summary
As a result of a recent review of gift and gratuity practices at member firms, NASD has
A firm is under a continuing obligation to update changes to information about the firm. Broker-dealer firms must file a Form BD amendment and/or a Continuing Membership Application (Form CMA) depending on the type of registration information that requires updating.On This PageWhen to File a CMAWhat to include in a CMARemoval or Modification of a Restriction on a Membership AgreementAfter Filing
Capital Acquisition Brokers (CABs) are firms that engage in a limited range of activities, which can include advising companies and private equity funds on capital raising and corporate restructuring and acting as placement agents for the sale of unregistered securities to institutional investors under limited conditions. CABs are not permitted, among other things, to carry or maintain customer
SUGGESTED ROUTING:*
Senior ManagementLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed amendments to Article HI, Sections 5 and 6 and Article IV, Sections 3 and 4 of the NASD By-Laws relating to retaining jurisdiction over member firms that resign their
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC recently adopted Rule 15c2-6, which is effective January 1, 1990. It imposes sales-practice requirements on broker-dealers that recommend transactions in certain low-priced, non-NASDAQ over-the-counter
INFORMATIONAL
Broker-Dealer, Investment Adviser and Individual (AG/RA) Renewals 2005
SUGGESTED ROUTING
KEY TOPICS
Executive RepresentativesLegal & ComplianceOperationsRegistered RepresentativeRegistrationSenior Management
RegistrationRenewalsWeb CRD®IARDSMMaintenance Fees
Executive Summary
The 2005 NASD Broker-Dealer and Investment Adviser Registration
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: DECEMBER 4, 1987.
EXECUTIVE SUMMARY
The NASD is publishing for comment a revision to its proposed amendment to the Interpretation of the Board of Governors on Free-Riding and Withholding that would provide members with an alternative means of complying with the Interpretation for sales of new issues to investment
