Guidance
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A broker/dealer is not required to register as branch offices under Rule 3010(g) non-public office locations where existing customers can use computer terminals to access their accounts and enter orders.
For purposes of Rule 2740, securities custodial, clearance and settlement services are not considered bona fide research.
Staff interpretation on the use of electronic signatures under NASD Rules 3110(c)(1)(C) and 3010(d).
Clarification of NASD Notice to Members 96-33: application of Rule 3040 to registered representatives of a distributor who also are employed by investment advisers to manage the portfolios of investment companies.
A wrap fee program in which a registered representative/investment adviser neither receives transaction fees nor is involved with the execution of securities transactions would be subject to NASD Rule 3030, rather than Rule 3040.
Intersection between the NASD's Limit Order Protection Rule and Rule 206(3) of the Investment Advisors Act of 1940 for fee-based wrap accounts.
[NASDAQ Staff Interpretive Letter]
Intersection between a member's obligation under the NASD's Limit Order Protection Rule and the Employment Retirement Income Security Act ("ERISA") for accounts subject to ERISA.
[NASDAQ Staff Interpretive Letter]
Application of NASD Rules to the sale of group variable products.