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GUIDANCE
Research Analysts and Research Reports
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Executive Representatives
Legal & Compliance
Registration
Research
Senior Management
Training
Qualification Examinations
Registration
Research ReportsRule 1050
Supervision
Executive Summary
NASD has amended NASD Rule 1050
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
<p>If a member engages in a TRACE-eligible securities transaction that is part of an open market issuer repurchase, the member would not be in compliance with Rule 6230 if the member failed to report the transaction in reliance on Rule 6230(e)(3).</p>
INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Board Elections
The Annual Meeting of Members of NASD will be held on January 6, 2004, at 11:00 am, at the NASD Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to conduct the election of Governors to the NASD Board. Members can raise other topics for
Continuing Education Planning
FINRA Revises the Sanction Guidelines
Upcoming Election to Fill FINRA District Committee Vacancies
The National Securities Exchanges and FINRA Issue Joint Guidance on Clock Synchronization and Certification Requirements Under the CAT NMS Plan
Upcoming Election to Fill FINRA District Committee Vacancies
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
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Municipal
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Operations
Options
Registered Representatives