Remarks From the Security Traders Association Annual Conference
GUIDANCE
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Debt Securities Operations
Rule 6200 Series
Transaction Reporting
TRACE
Executive Summary
On June 14, 2004, the Securities and Exchange Commission (SEC or
Commission) approved
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceInstitutionalSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
In a report titled "Clearance and Settlement Systems in the World's Securities Markets," a private-sector group published nine recommendations proposing standards for clearance and settlement of
On-Demand Recording: Phone-In Workshop | Original Program Date: June 8, 2017
Closing Of Washington District Office
A decision was made in June of last year to close the Washington, D.C. NASD RegulationSM District Office. That District Office officially closed its doors on January 31, 1998.
This notification is to advise readers that the functions of the former D.C. District Office have been divided between the Philadelphia and Atlanta NASD Regulation District Offices.
NASD Reminds Firms of E-Mail Address Established to Report System Outages to Market Regulation Department
In the Winter 2000 Regulatory & Compliance Alert (2000 RCA), NASD provided the e-mail addresses specified below so that members could notify NASD's Market Regulation Department (the "staff") of system problems that impacted a member's ability to comply with
I am Daniel M. Sibears, Vice President, Member Regulation of NASD Regulation, Inc. (NASDR). I appreciate the opportunity to appear before you today to give the views of the National Association of Securities Dealers, Inc. (NASD) on the examination of the securities activities of banks and other financial institutions.
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2014
New Large Options Positions Report (LOPR) Requirements Due to Implementation of Options Symbology Initiative
SEC Approves Amendments Relating to Web-based Delivery of the Regulatory Element of Continuing Education
