Displaying 10061 - 10070 of 10873 Results
Notice to Members 04-56
GUIDANCEOnline Arbitration Claim Filing SystemEffective Date: August 5, 2004SUGGESTED ROUTINGKEY TOPICSLegal and ComplianceArbitrationArbitratorsDispute ResolutionExecutive SummaryThe Securities and Exchange Commission (SEC) has approved amendments to Rule 10314 of the NASD Code of Arbitration Procedure (Code) to allow parties to complete part of the arbitration claim filing process
Notice to Members 05-36
GUIDANCE Mediators as Arbitrators Effective Date: May 6, 2005 SUGGESTED ROUTING KEY TOPICS Legal and Compliance Arbitration Dispute Resolution Mediation Executive Summary The Securities and Exchange Commission (SEC) has approved a new Interpretive Material (IM) to Rule 10308 of the NASD Code of Arbitration Procedure (Code)
Regulatory Notice 08-29
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Monthly Disciplinary Actions May 2004
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Notice to Members 04-79
INFORMATIONAL Annual Compliance Certification and Designation of Chief Compliance Officer Compliance Date: December 1, 2004 SUGGESTED ROUTING KEY TOPICS Continuing Education Executive Representatives Legal & Compliance Registered Representatives Senior Management Training CCO CEO Certification Compliance
Interpretive Letter to Alan M. Wolper, Esq., Sutherland Asbill & Brennan LLP
<p>NASD Rule 2460 - Payments for Market Making</p>Services rendered in acting as a Designated Advisor for Disclosure (DAD) for Pink Sheets’ new OTCQX listing may fall within the exception of Rule 2460(b), which permits a member to accept payment for bona fide services; however, this conclusion will depend upon the specific payments made and services that ultimately are rendered.
Notice to Members 05-19
INFORMATIONAL Qualification Examinations Implementation Date: April 29, 2005 SUGGESTED ROUTING KEY TOPICS Legal &amp; Compliance Operations Registration Training Assistant Representative – Order Processing (Series 11) Limited Representative – Equity Trader (Series 55) Rule 1032(f) Rule 1041 Executive
Regulatory Notice 09-61
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Monthly Disciplinary Actions January 1999
Monthly Disciplinary Actions June 2005
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).