Exemption granted to extend exemption previously granted from Rule 2720(l), to [Firm] on June 14, 1999 to include offerings of warrants and purchase contracts and to units consisting of debt securities, warrants, and/or purchase contracts.
<p>Application of Rule 2320(g) and Rule 3110(b) to quotations displayed in the Electronic Quotation Service (prior to the adoption of proposed Rule 6630).</p>
SUGGESTED ROUTING
Senior Management
Advertising
Corporate Finance
Government Securities
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Executive Summary
During the last two years, NASD Regulation, Inc. (NASD RegulationSM) has imposed
<p>Mutual fund offeror may directly reimburse personal travel expenses of registered representatives that attend training and education meetings, provided appropriate records are maintained.<br/></p>
Effective: Immediately
SUGGESTED ROUTING
Corporate Finance
Legal & Compliance
Syndicate
Trading
Executive Summary
On October 3, 1997, the Securities and Exchange Commission (SEC) approved, on an accelerated basis, amendments to National Association of Securities Dealers, Inc
<p>NASD Regulation does not provide interpretive guidance on the appropriateness of a commission or mark-up schedule under Rule 2440, relating to fair prices and commissions, and the related mark-up policy, IM-2440. Further, NASD Regulation does not provide any assurance in the interpretive process that a firm's absolute reliance on a schedule for determining a commission or a mark-up is appropriate.</p>
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered
Collection of customer information from account application forms.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the NASD Rule 7000 Series (Charges for Services and Equipment) to delete references to systems and services that will no longer be provided by NASD upon the operation of NASD's Alternative Display Facility (the "ADF") for non-Nasdaq exchange-listed
