Displaying 15051 - 15060 of 34037 Results
Notice to Members 03-54
REQUEST FOR COMMENT Compensation for the Sale of Investment Company Securities Comment Period Expires: October 17, 2003 SUGGESTED ROUTING KEY TOPICS Advertising/Investment Companies Executive Representatives Legal & Compliance Mutual Fund Registered Representatives Senior Management NASD Rule 2830 Revenue Sharing
Notice to Members 03-55
See Nasdaq Head Trader Alert 2003-140 at: www.nasdaqtrader.com/dynamic/newsindex/headtraderalerts_2003.stm ACTION REQUIRED Electronic Communications Networks Changes Effective: October 6, 2003 SUGGESTED ROUTING KEY TOPICS Executive Representative Legal & Compliance Operations Senior Management Transaction Reporting
Notice to Members 03-56
INFORMATIONAL Forms U4 Operative Date: October 27, 2003 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registration Senior Management Central Registration Depository Form U4 New Member Application Rule 1013 Rule 1140 Executive Summary NASD has amended Rule 1013 (New Member Application and
Notice to Members 03-57
INFORMATIONAL Continuing Education SUGGESTED ROUTING KEY TOPICS Continuing Education Legal & Compliance Registration Senior Management Continuing Education Firm Element Executive Summary The Securities Industry/Regulatory Council on Continuing Education (Council) has issued the annual Firm Element Advisory, a
Notice to Members 03-58
INFORMATIONAL Corporate Debt Securities Transaction Reporting SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal and Compliance Operations Senior Management Technology Trading and Market Making Training Debt Securities Dissemination Operations Rule 6200 Series Transaction Reporting Executive Summary
Notice to Members 03-59
Due to a change in our publishing schedule, there is no Notice numbered 03-59.
Notice to Members 03-60
INFORMATIONAL Board of Governors Nominees SUGGESTED ROUTING KEY TOPICS Executive Representatives Senior Management NASD Board of Governors The Annual Meeting of members of NASD will be held on January 6, 2004. The formal notice of the meeting, including the precise date, time, and location of the Annual Meeting, will be mailed on
Notice to Members 04-33
ACTION REQUIRED Financial Accounting SUGGESTED ROUTING KEY TOPICS Accounting Financial Compliance Operations Senior Management Financial Accounting FOCUS Reporting Net Capital Executive Summary In May 2003, the Financial Accounting Standards Board (FASB) released Statement No. 150, Accounting for Certain Financial
Notice to Members 03-61
ACTION REQUIRED Broker/Dealer and Investment Adviser Renewals Payment Deadline: December 5, 2003 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Registered Representative Registration Senior Management IARDSM Maintenance Fees Registration Renewals Web CRD®
Notice to Members 04-34