| Day Trading |
Margin Requirements; 04-38; 01-26; 98-102, 04-38 |
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Debt Securities |
07-28; 07-21; 07-18; 07-15; 06-32; 06-22; 05-77; 05-52; 05-37; 05-28; 05-21; 05-05; 05-02; 04-65; 04-51; 04-39; 04-30; 04-06; 03-58; 03-45; 03-36; 03-22; 03-12; 02-76; 02-33 Deferred Variable Anniuties; 07-53 Offerings; 06-52 With Equity CUSIPs; TRN 7/1/08; TRN 2/22/08 |
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| Decimalization |
Deadline Suspended; 00-32 |
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| Default Decisions |
Procedures; 99-77 |
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| Deferred Variable Annuities | (see Variable Contracts) | |
| Deficits in Introduced Accounts | 05-38 | |
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Delayed Start Options |
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| Delta Hedging | 08-04; 05-06 | |
| Depository Trust Company |
Initial Public Offering Tracking System; 97-34 |
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| Derivatives | 07-61; 05-59; 04-13 | |
| Designated Rules | 97-42 | |
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Designations and Credentials |
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| Diminished Capacity | 07-43 | |
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Direct Participation Programs (DPPs) |
Directory; 97-23; 97-08 Trail Commissions; 04-50 |
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| Directed Brokerage | 05-04 | |
| Disaster Recovery | ||
| Disciplinary Actions |
Appeal Enforcement Policy; 99-68 |
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| Disclosure |
Analyst; 01-45; Form U-4/Arbitration; 99-96 |
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| Discovery Guide | (see Arbitration) | |
| Discovery-Related Motions | 05-55 | |
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Discretionary Accounts |
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| Display Rule (SEC Rule 11Ac1-4) |
Limit Orders; 99-99 |
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Dispute Resolution |
Address Change; FYI, March 1997 Arbitration Chairperson Selection; 04-61 Arbitration Time Limits; 05-10 Code of Arbitration Procedure; 08-62; 08-44; 08-22; 07-57; 07-13; 07-07 Code of Mediation Procedure; 07-57 Discovery-Related Motions; 05-55 Dispute Resolution Subsidiary; 99-100 Expungement; 04-43; 04-16 Filing Fees; 02-83 Mediators as Arbitrators; 05-36 New Hearing Locations; 03-02; 02-16; 02-11 Public Arbitrator; 08-22 Regional Offices; 06-49 Representation of Parties; 07-57 Settlement Agreements; 04-44 Updated Fees; 02-83 |
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| Disqualification |
Definition of; 03-04 |
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| Dissemination |
06-01; 05-37; 05-05; 05-02; 04-65; 03-58; 03-22; 03-12; 02-76 |
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Distributions |
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District Offices |
Compliance Seminars; FYI, July 1999; FYI, June 1999; FYI, September 1998; FYI, August 1998 |
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| Do-Not-Call Registry | 05-07; 04-15 | |
| DPP | (See Direct Participation Program) | |
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Due Diligence |
Commodity Pools; 04-07 Hedge Funds; 03-07 Outsourcing; 05-48 Private Placements; 05-18 Public Offerings of DPPs and REITs; 08-35 |
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| DVP/RVP (Delivery versus Payment/Receive versus Payment) | 06-68 |