NASD has filed with the SEC portions of a Notice to Members discussing the application of NASD Rule 2790. NASD is not proposing any textual changes to the Rules of NASD.
In a request for interpretive guidance, a member asks if NASD Rules prohibit a member from paying finders or referral fees to CPAs that are not registered as associated persons.
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to implement Section 203 of the Gramm-Leach-Bliley Act of 1999 ("GLBA"). Specifically, Section 203 adds a new subsection (j) to Section 15A of the Act, which requires that the NASD, as a registered securities association, create a limited registration category for any
August 2, 2004NASD reminds firms that when an NASD member firm receives or originates an order and electronically routes that order to another member firm, the routing firm must provide a Routed Order ID to the receiving firm. (This requirement does not apply when routing to an ECN or to a non-member.) Both the routing firm and the receiving firm must record and report this Routed Order ID to
Rule Effective April 21, 1999
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
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 Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
A revised edition of
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Operations
Systems
Trading
Executive Summary
In the October Notices to Members, the National Association of Securities Dealers, Inc. (NASD) published an FYI alerting members to legislation recently enacted by Congress that authorizes the Securities and Exchange Commission (SEC) to collect a fee (SEC fee) of 1
Member's use of minimum commissions per trade or per share and the use of standardized commission schedules.
What is proper evidence of compliance with clock synchronization requirements pursuant to NASD Rule 6953?<br/>
