NASD Rules 6950-6957 (OATS)
<p>NASD Rule 3060 - Influencing or Rewarding Employees of Others</p>
NASD Rule 2210 - Communications with the Public
NASD Rule 2210 - Communications with the Public
<p>NASD Rule 3010 - Supervision</p>
<p>NASD Rule 2460 - Payments for Market Making</p>Services rendered in acting as a Designated Advisor for Disclosure (DAD) for Pink Sheets’ new OTCQX listing may fall within the exception of Rule 2460(b), which permits a member to accept payment for bona fide services; however, this conclusion will depend upon the specific payments made and services that ultimately are rendered.
NASD Rule 2830 - Investment Company Securities</p>Offices of sub-adviser holding training and education meeting is permissible location under Rule 2830(l).
NASD Rule 2211 - Institutional Sales Material and Correspondence</p>Free writing prospectuses are not subject to Rules 2210 and 2211 or the filing requirements of Rules 2710 and 2720
NASD Rule 2110 - Standards of Commercial Honor and Principles of TradeMember ceasing to offer retail brokerage accounts with investment advisory and prime brokerage services may use negative response letters to accomplish the bulk transfer of its retail brokerage accounts to a newly formed broker-dealer.
