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CAES
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(see Computer Assisted Execution System)
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California Disclosure Standards
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03-25; 02-68
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Callable Common Stock
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Disclosure; 00-33
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Capital Compliance
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09-03; 08-23
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Cease-And-Desist Proceedings
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Proposed Rules; 98-42
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Central Registration Depository (CRD®)
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08-20; IN 2/21/08
Account Deduction; 00-85; 99-84; 98-61; 97-71
Background Investigations; 07-55
Branch Office Definition; 06-12; 05-67
Branch Office Registration; 08-03; 06-12; 05-66
Broker-Dealer and Investment Adviser Renewals; 06-59
Confidentiality Provisions; 04-44
Continuing Education Program, Termination; 97-65
Exam Scheduling; FYI, December 2002
Expungements; 04-43; 04-16; 01-65; 99-54; 99-09
Fees; 08-45; 02-83; FYI, July 2001; 99-84; 98-89
Final Renewal Statements and Reports; 07-01; 06-02; 05-01
Firm Notifications; FYI, August 2002
Forms; 04-55; 03-56; 03-42; 02-20
Payments; FYI, September 2001
Public Information; 03-76
Renewals; 09-01; 08-59; 08-01; 07-48; 05-73; 05-01; 04-02; 03-61; 03-01; 02-67; 02-48; FYI, February 2002; 02-03; 01-75; FYI, February 2001
Web CRD; 07-01; 04-74; 04-23; 04-02; 00-72; FYI, January 2000; 99-85; 99-56
Web EFT; 03-14
Year 2000; FYI, September 1999
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Certificates of Deposit
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Long-Term or Brokered CDs; 02-69; 02-28
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Certification
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Chief Executive Officer Compliance Certification; 04-79; 04-71
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Charitable Giving
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Guidance; 06-21
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Chief Compliance Officer
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Designation Requirements; 04-79
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Chief Executive Officer
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Compliance Certification; 04-79
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Clearing Firms
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07-29
Agreements; 08-46
Clearing Agreements; 05-72; FYI, July 2002; 99-57; 97-79
Customer Account Statements; 07-29
Reporting Inaccuracies and Discrepancies; 06-60
Deficits in Introduced Accounts; 05-38
Deposits; 08-46
Obligations; 04-24; 97-79
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Clerical and Ministerial Activities
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|
05-12
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Closed-End Funds
|
|
Proposed Amendment; 04-07
|
|
Close-Out Requirements
|
|
06-18
|
|
Code of Arbitration Procedure (NASD Rule Series 10000)
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|
08-62; 08-45; 08-44; 08-22
Rule Changes; 07-57; 07-13; 07-07; 05-85; 04-59; 04-53; 02-59; 02-58; 02-13; 01-70; 01-29; 01-13; 01-04; 01-03; 00-64; 00-22; 99-96; 99-23; 98-90; 98-56; 97-59
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Code of Mediation Procedure
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|
07-57
|
|
Code of Procedure (NASD Rule Series 9000)
|
|
Disciplinary Procedures; 98-02; FYI, December 1997; 97-55
Exemptions; 97-60
Rule Changes; 00-56; 99-73; 99-16; 99-01; 98-74; 98-52; 98-02; 97-60; 97-55
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|
Cold Calling
|
|
Alias, Use of; FYI, May 1998
Foreign Jurisdictions, Soliciting Business in; 00-02
Interpretive Material; 97-58
Rule Changes; 05-07; 04-15; 97-57
United Kingdom, Soliciting Business in; 98-91
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Commercial Bribery
|
|
06-06
|
|
Commissions
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|
08-36
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Commodity Pools
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(see Direct Participation Programs (DPPs))
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Communications
|
|
(see also Electronic Communications, Online Communications)
Forwarding of Communications; 02-33
Ghostwritten; 08-27
With the Public; 08-73; 08-66; 08-39; 08-27; 07-49; 07-43; 07-04; 06-50; 05-34; 05-27; 05-25; 03-33; 01-45; 99-79; 97-37
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|
Compensation
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|
Cash and Non-Cash Compensation; 01-63; 99-55; 98-75
Fee-Based Compensation; 03-68
Guidance on; 01-85
Investment Company and Variable Contract Securities; 97-50
Limitations: 08-35; 04-13; 04-07
Public Offerings of Direct Participation Programs; 97-81
Salesperson Compensation; 99-81
Underwriting; 06-52; 02-55; 01-59; 00-12; 98-88
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Complaints
|
|
Complaint and Disclosure Filings; 08-40
Customer Complaints; FYI, December 2003; FYI, December 2002; 96-85
Erroneous Complaint Procedures; 00-10
Filing with NASD; 03-23
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|
Compliance Programs and Policies
|
|
Anti-Money Laundering Compliance Programs; FYI, December 2002; 02-80; 02-78; 02-21
Chief Executive Officer Compliance Certification and Chief Compliance Officer Designation; 04-79 Compliance and Supervisory Policies and Procedures; 03-29
|
|
Compliance Registered Options Principal
|
|
08-28
|
|
Computer Assisted Execution System (CAES)
|
|
Third Market Trading Rules; 98-05
|
|
Confidentiality
|
|
Proposed Rule; 97-12
Withdrawn Rule; 00-66
|
|
Confirmations
|
|
07-65; 07-35; 05-21
|
|
Conflicts of Interest
|
|
Research Analysts and Reports; 06-36 Volume-Weighted Average Price Transactions; 06-52; 05-51
|
|
Consolidated Quotation System (CQS)
|
|
Third Market Trading Rules; 98-05
|
|
Consolidated Rulebook (FINRA)
|
|
Approval and Effective Dates; 08-57
Process; IN 10/6/08; IN 3/12/08
Requests for Comment 08-55; 08-26; 08-25; 08-23
|
|
Consultative Committes
|
|
Establishment of; 03-10
|
|
Consumer Reports
|
|
08-69
|
|
|
|
09-02; 07-42
|
|
Contingency Planning
|
|
(see Business Continuity Planning)
|
|
Continuing Education Program
|
|
IN 6/9/08
Chief Compliance Officers; 01-51
Compliance Software; FYI, November 1997
CRD Notification; 01-17; 01-07; 00-35
Disaster Recovery; 07-49
Exemptions; 05-20; 04-78
Fees; 05-79; 03-81
Firm Element; 01-74
Firm Element Advisory; 08-63; IN 10/31/08; 08-29; IN 6/9/08; 07-56; 07-26; 06-65; 06-63; 05-68; 04-76; 03-57; 02-70; 01-72; 00-75; 99-78; 98-28; 97-09
Firm Element Practices; 97-66
Foreign Deferrals; 03-40
General Program (S101); 01-71
In-Firm Delivery; 03-40
Planning; IN 6/9/08; IN 11/26/07
PROCTOR; 96-87
Regulatory Element, Compliance; 04-78; 04-22; 04-12; 03-81; 03-40; 02-77; 02-02; 01-74; 01-73; 01-71; 01-50; 01-17; 01-07; 97-65
Rule Amendments; 03-44; 02-12; 01-14; 98-59; 98-35; 98-23
Scheduling Procedures; FYI, June 1998
Series 6 Program (S106); 02-02; 01-71
Status Report; 02-22; 98-68
Testing; FYI, November 2001; 01-73; FYI, June 2001
|
|
Contrary Exercise Advice
|
|
06-51
Violations; 08-33
|
|
Control Entity
|
|
07-27
|
|
Convertible Debt
|
|
TRN 2/22/08
|
|
Corporate Financing
|
|
Charitable Organizations Offerings; 99-17 Electronic Filing; 02-26; 99-41
Fees; 07-05; 00-85; 99-50; FYI, January 1999
Rule Changes; 04-13; 97-82
|
|
Correspondence
|
|
08-73; 08-24
Credit Regulation; 07-49;
General; 07-59; 07-30
Rule Changes; 06-45; 99-03; 98-83
Supervision, Review, and Record Retention; FYI, May 1998; 98-11
|
|
Cost Basis Information
|
|
04-47
|
|
Covered Accounts
|
|
08-69
|
|
CQS
|
|
(see Consolidated Quotation System)
|
|
CRD
|
|
(see Central Registration Depository)
|
|
Credit Default Swaps
|
|
05-77
|
|
Creditors
|
|
08-69
|
|
Customer Accounts
|
|
Borrowing; 04-14; 03-62
Bulk Transfers; 04-72; 02-57
Changes of Address; 08-69
Communication; 07-49
Customer Dispute Information; 04-16
Disaster Recovery; 07-49
Discretionary Power; 08-64
Refunds; 03-47
Sharing; 03-21
Transfer Contracts; 07-50
|
|
Customer Complaint Reporting
|
|
Auction Rate Securities; 08-17
Procedures; 08-47
|
|
Customer Complaints
|
|
IN 12/20/07
|
|
Customer Identification Programs
|
|
03-34
|
|
Customer Protection
|
|
08-66; 08-60; 08-56
|
|
Customer Reserve Formula Computation
|
|
07-60
|
