Proposed Rule Change to Amend FINRA Rule 4512 (Customer Account Information)
NASD has filed with the SEC a proposed rule change to amend NASD IM-10104, Rule 10306, and Rule 10319 of the NASD Code of Arbitration Procedure to impose a fee on parties of $100 per arbitrator and to compensate arbitrators in the event a hearing is adjourned within three business days before a scheduled hearing session.
<p>Applicability of NASD Rule 3070 to the operations of a mutual fund and variable product distributor broker/dealer.<br/></p>
SUGGESTED ROUTING
Senior Management
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Executive Summary
As published in NASD Notice to Members 98-77 (September), Article IV, Section 3 of the National Association of Securities Dealers, Inc. ( NASD®) By-Laws has been amended. This By-Law change, which takes effect January 1, 1999,
November 26, 2001When an Reportable Order Event (ROE) has been rejected, repaired, and is resubmitted, it is imperative that reporting members populate the Rejected ROE Resubmit Flag field with a value of "Y". The Rejected ROE Resubmit Flag of "Y" indicates that the ROE being submitted to OATS was previously rejected from or submitted to OATS. This particular value must be
SUGGESTED ROUTING
Senior Management
Advertising
Corporate Finance
Government Securities
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Systems
Trading
Training
Executive Summary
Effective January 1, 1998, the National Association of Securities Dealers, Inc. (NASD®) will
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
The 1998-1999 renewal
INFORMATIONAL
Web-Based Regulatory Applications
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Systems
Forms/Electronic Filing
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
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
Requirements of member firms in maintaining do-not-call lists under NASD Rule 3110.
