Displaying 1801 - 1810 of 34008 Results
Notice to Members 01-85
INFORMATIONAL Compensation and Mixed Capacity Trading SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Registered Representatives Senior Management Training Disciplinary Information Executive Summary The Nasdaq Stock Market, Inc. (Nasdaq®) and NASD Regulation, Inc. (NASD Regulation) believe that market rules should enhance investor
Notice to Members FYI March 2003
New Series 51 Examination
Notice to Members FYI April 2003
Clarification to Fall 2000 Regulatory & Compliance Alert
Notice to Members FYI December 2003
NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports by their due dates.
Notice to Members FYI December 2002
NASD Reminds Firms
Notice to Members FYI November 2002
Reminder to NASD Members –­ Transactions with NASD and American Stock Exchange Employees; Filing of Annual Attestation Required by Rule 2711 – Research Analysts and Research Reports
Notice to Members 03-01
ACTION REQUIRED Broker/Dealer, Investment Adviser, and Individual (AG/RA) Renewals SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Registered Representative Registration Senior Management Registration Renewals Web CRD Web IARD Maintenance Fees Executive Summary The 2003 NASD Broker/Dealer and Investment Adviser Registration
Notice to Members 03-02
INFORMATIONAL Dispute Resolution Hearing Location SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Arbitration Dispute Resolution Mediation Executive Summary NASD Dispute Resolution has established San Juan, Puerto Rico as an additional hearing location, effective January 1, 2003. This will be the third hearing location established outside of
Notice to Members 03-03
Dispute Resolution Office Relocation SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Dispute Resolution Executive Summary NASD Dispute Resolution announces the relocation of its New York headquarters office and Northeast Regional Office to: One Liberty Plaza 27th Floor 165 Broadway New York, New York 10006 Telephone: (212) 858-4400 Facsimile
Notice to Members 03-04
Mail Vote Last Voting Date: February 10, 2003 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance, Senior Management NASD By-Laws Non-Payment of Arbitration Awards Definition of "Disqualification