Notices Subject Index – D

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Day Trading

Margin Requirements; 12-4411-30; 11-1604-38; 01-26; 98-102, 04-38
New Rules; 09-72; 00-62
Proposed Rules; 99-32
Risk Disclosure Statements; 02-35

Debt Securities

07-28; 07-21; 07-18; 07-1506-3206-22; 05-7705-5205-37; 05-28; 05-2105-05; 05-0204-65; 04-51; 04-39; 04-3004-06; 03-58; 03-45; 03-36; 03-22; 03-12; 02-76; 02-33

Deferred Variable Anniuties; 07-53

Offerings; 06-52

Pricing; 08-43; 07-28

With Equity CUSIPs; TRN 7/1/08; TRN 2/22/08

Decimalization

Deadline Suspended; 00-32
Decimalization Plan; 00-80; 00-67; 00-52
Evaluation; 97-41
Preparation For Decimal Trading; 00-06; 99-39
Qualification Examinations; FYI, March 2001
Rule Change; 01-20; 00-48
Testing; 01-12; 01-05; 00-86; 00-80; 00-38

Default Decisions

Procedures; 99-77

Deferred Variable Annuities (see Variable Contracts)

Deficient Arbitration Claims

10-11

Deficits in Introduced Accounts 05-38

Definitions

12-04

Delayed Reporting

TRACE; TRN 5/10/11

Delayed Start Options

IN 8/26/08; IN 5/15/08

Delta Hedging 08-04; 05-06

Depositary Shares

14-23

Depository Trust & Clearing Corporation

Information Sharing Agreements; IN 5/26/10

Initial Public Offering Tracking System; 97-34

DTCC

(see Depository Trust & Clearing Corporation)

 

Derivatives 07-61; 05-5904-13
Designated Rules 97-42

Designations and Credentials

11-5208-27; 07-43

Designation of Accounts

09-33

Diminished Capacity 07-43

Direct Participation Programs (DPPs)

13-18; 09-33; 09-09; 09-08; 08-35; 05-65

Directory; 97-23; 97-08
Proposed Amendment; 04-07; 97-14
Public Offerings; 97-81
Quotation and Transaction Reporting; 10-29; 10-24; 97-08

Trail Commissions; 04-50

Directed Brokerage 05-04

Directed Orders

08-80

Disaster Recovery

07-49; 05-5702-23

Disciplinary Actions

Appeal Enforcement Policy; 99-68
Cease-and-Desist Proceedings; 98-42
Censure Policy; 99-91; 99-59
Consultative Committees; 03-32; 03-10
Default Decisions; 99-77

Disciplinary Decisions; 13-27
Disciplinary Procedures; 01-27; 97-55; 97-32
Disciplinary Update; 01-78
Monetary Sanctions; 99-86
Release of Disciplinary Information; 13-27; 02-49; 00-83; 00-36; 97-42

Summary Actions; 13-27

Disciplinary Actions Online Database

13-27

Disclosure

11-06; 08-82; 08-81

Agency Capacity; 10-03

Analyst; 01-45;
California Disclosure Standards; 03-25; 02-68

Compensation; 13-02
Day Trading; 02-35; 00-62
Deferred Variable Annuities; 07-53; 04-45

Events; 13-08

Financial Condition; 10-21

Form U-4/Arbitration; 99-96
Margin; 02-35; 01-37; 01-31; 00-61
Municipal Securities; 10-41; 09-35

Obligations; 11-1001-16; 00-07; 99-02; 97-29
Order Routing; 01-44; 01-30
 

Discovery

11-50

Discovery Guide (see Arbitration)
Discovery-Related Motions 05-55

Discretionary Accounts

08-28

Display Rule (SEC Rule 11Ac1-4)

Limit Orders; 99-99

Dispute Resolution

12-1808-22; 06-64

Address Change; FYI, March 1997

Attendance at Arbitration Hearings; 10-40

By-Laws; 10-32

California Disclosure Standards; 03-25; 02-68
Default Procedures; 02-58
Dispute Resolution Subsidiary; 99-100

Fees; 08-45

Filing Fees; 02-83
Foreign Hearing Locations; 05-35

Industry Members; 12-57

New Hearing Locations; 03-02; 02-16; 02-11
Office Relocation; 03-03

Public Members; 12-57
Regional Offices; 06-49

Representation of Parties; 07-57

Settlement Agreements; 04-44

Updated Fees; 02-83

Disqualification

Definition of; 03-04

Dissemination

12-5612-48; 12-2606-0105-37; 05-05; 05-0204-6503-58; 03-22; 03-12; 02-76

Dissemination Caps; 12-39

Distributions

12-1911-4008-74

District Offices

Compliance Seminars; FYI, July 1999; FYI, June 1999; FYI, September 1998; FYI, August 1998
District Committees; EN 10/19/11EN 9/7/1103-51; 03-31; 03-10
District Elections; EN 12/17/2013; EN 10/16/2013; EN 9/4/2013EN 12/6/12EN 10/17/12; 9/5/12EN 11/29/11EN 10/19/11; EN 9/7/11; EN 3/29/10; EN 2/12/10; EN 12/11/09; EN 2/23/09; EN 1/2/09; EN 4/11/08; EN 2/27/08; EN 1/18/08; EN 9/26/07; 06-66; 06-40; 06-24; 05-84; 05-74; 05-62; 05-4205-16; 05-1504-82; 04-67; 04-42; 04-2904-05; 03-52; 03-31; 03-24; 03-09; 02-65; 02-37; 01-69; 01-43; 00-74; 00-60; 00-34; 99-89; 99-74; 99-62; 99-40; 98-93

Election Procedures; EN 9/7/11; 03-51; 98-62
Washington Office; FYI, March 1998

Dividends

Company-Related Actions; 11-09

Do-Not-Call Registry 05-0704-15

DPP

(see Direct Participation Program)

Due Diligence

Commodity Pools; 04-07

Complex Products; 12-03

Hedge Funds; 03-07
Non-Conventional Investments; 03-71

Outsourcing; 11-1405-48

Private Placements; 05-18

Public Offerings of DPPs and REITs; 08-35

Unlisted DPPs and REITs; 09-09

DVP/RVP (Delivery vs Payment/Receive vs Payment)

06-68