NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 1022 (Categories of Principal Registration) and NASD Rule 1032 (Categories of Representative Registration) to extend to December 31, 2009 the date by which eligible registrants must complete a firm-element continuing education program to qualify to
SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Training
Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved Rule 1120 (formerly Schedule C, Part XII of the National Association of Securities Dealers, Inc., By-Laws) of the NASD® Membership and Registration Rules, which prescribes requirements for
Executive Summary
The Board of Governors of the Federal Reserve System (Fed) is adopting several amendments to Regulation T (Reg. T), the regulation that covers extensions of credit by and to brokers and dealers. These amendments reflect consideration of the comments submitted in response to the proposed rule issued by the Board for public comment on June 29, 1995, and reprinted in Notice to
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Christmas Day And New Year's Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Thursday, December 25, 1997, in observance of Christmas Day, and Thursday, January 1, 1998, in
Staff clarification of <i>NASD Notice to Members 96-60</i> regarding a member's suitability obligation under NASD Rule 2310.
Staff clarification of <em>NASD Notice to Members 96-60</em> regarding a member's suitability obligation under NASD Rule 2310.
Requirements of member firms in maintaining do-not-call lists under NASD Rule 3110.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to (1) amend NASD Rule 6130 (Trade Report Input) to allow NASD members to use the NASD/Nasdaq Trade Reporting Facility (the "NASD/Nasdaq TRF") to process transaction fees charged by one member to another member on trades in NMS stocks, as defined in Rule 600(b)(
A NASD member firm that is a proprietary trader and does not make markets is required to report orders in Nasdaq securities in compliance with OATS Rules 6951 through 6957.<br/>
NASDR has filed with the SEC a proposed rule change to amend Rule 3110 (the "Books and Records Rule") of the Conduct Rules of the National Association of Securities Dealers, Inc. to: (1) change the definition of "institutional account" to include the accounts of investment advisers that, under the National Securities Markets Improvement Act of 1996 and new rules adopted by the
