Proposed Rule Change Relating to FINRA Rule 4210 (Margin Requirements)
GUIDANCE
Outsourcing
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Due Diligence
Outsourcing
Supervisory Responsibilities
Third-Party Service Providers
Executive Summary
NASD is aware that members are increasingly contracting with third-party service providers to perform certain activities and functions related to
How to Download a Report From Web CRD
NASD Rule 2211 - Institutional Sales Material and Correspondence</p>Free writing prospectuses are not subject to Rules 2210 and 2211 or the filing requirements of Rules 2710 and 2720
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rule 2860 (Options) to (1) require that a copy of each amendment to the options disclosure document, Characteristics and Risks of Standardized Options, be distributed to each customer not later than the time of the delivery of a confirmation of a transaction in
Continuing Education Planning
Continuing Education
Regulatory Notice
Notice Type
Guidance
Key Topic(s)
Continuing EducationFirm Element
Suggested Routing
Compliance
Continuing Education
Legal
Registration
Senior Management
PLEASE NOTE: On July 30, 2007, the Financial Industry Regulatory Authority, FINRA, began operations. FINRA was formed through the consolidation of NASD and the enforcement, member
August 7, 2006
NASD is publishing this article to provide additional guidance to members regarding use of the Routing Method Code of "S" (Smart Router) on Route and Combined Order/Route Reports.1
For purposes of OATS reporting, NASD defines a Smart Router as a system that, based on predetermined logic applied to variable market conditions, determines without human intervention, the
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
This request for exemptive relief is granted based on the Firm's representation that the Contributions were made prior to the individual being employed by the Firm, and that the individual has never engaged in municipal securities business, as defined by MSRB Rule G-37, the return of the Contributions, and the extensive information barriers and compensation restrictions.
