GUIDANCE
Trade Reporting and Compliance Engine (TRACE)
Effective Date: October 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Registered Representatives
Senior Management
Technology
Training
Debt Securities
Operations
Rule 7010
Transaction Reporting
Executive Summary
On August 1, 2005
Executive Summary
Due to the recent tragic events resulting from Hurricane Katrina, NASD is aware that members with offices in the affected areas are concerned with a number of regulatory and compliance issues. In this regard, NASD is providing guidance on these issue, including guidance on emergency office relocations, continuing education requirements for registered personnel, registered
What should your firm do after it discovers that customers’ accounts have been compromised?
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SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of December 29, 1994, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
SPRC.GA
Southern Pacific Rail Corp.
9.625
8/15/05
The Neutral Corner—Volume 4, 2021
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceMunicipalOperationsSystemsTrading
Executive Summary
On March 18, 1993, the Securities and Exchange Commission (SEC) approved NASD rules regarding quotation and transaction reporting requirements for members trading high-yield, fixed-income securities. The rules will become effective in the fourth quarter of
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, June 7, 1988, the following 10 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,950:
Symbol*
Company
Location
CPAK
I should have access to leveraged and inversed fund. I know what they are. I should not take test to invest in these funds.
I should be able to decide what I want to invest in and I don't need to be tested to decide what I want to invest in
