Displaying 1241 - 1250 of 34027 Results
Notice to Members October 1998
Year 2000 Update
Notice to Members November 1998
Year 2000 Update
Notice to Members December 1998
Year 2000 Update
Notice to Members FYI January 1998
For Your Information
Notice to Members FYI February 1998
For Your Information
Notice to Members FYI March 1998
For Your Information.
Notice to Members FYI April 1998
For Your Information
Notice to Members 06-59
ACTION REQUIRED Broker-Dealer and Investment Adviser Renewals SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Registered Representative Registration Senior Management IARDSM Maintenance Fees Renewals Registration Web CRD® Executive Summary The 2007 NASD Registration Renewal
Notice to Members 06-58
GUIDANCE Best Execution SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registered Representatives Senior Management Trading and Market Making Best Execution Interpretive Material 2320 Rule 2320 Executive Summary On August 21, 2006, the Securities and Exchange Commission (SEC) approved amendments to Rule 2320(a), the Best Execution Rule, to require that
Notice to Members 06-57
GUIDANCE Short Sales SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Operations Registered Representatives Senior Management Systems Trading Training Rule 5100 Short Sales Executive Summary On October 2, 2006, the Securities and Exchange Commission (SEC) approved an exemption to NASD Rule 5100 (Short Sale Rule) for securities included in the NASDAQ-100