GUIDANCE
Short Sales
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Trading
Bona Fide Market Making
Short Sales
Rule 5100
IM-5100
Executive Summary
Rule 5100 generally prohibits a member from effecting short sales
in NASDAQ Global Market (NGM) securities1 otherwise than on an
exchange for a customer account, or the
Proposed Rule Change to Amend Rule 6730 of the Trade Reporting and Compliance Engine (TRACE) Rules
A free market implies free trading with all available instruments. The limitations are a financial dictatorship. I will not trust a market that changes its rules every now and then in favor of some special interests and government convenience. You better focus on making the same rules for everyone and NOT make select categories with "special" rules
INFORMATIONAL
Displaying Customer Limit Orders
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Systems
Trading & Market Making
Limit Orders
Order Handling Rules
SEC Rule 11Ac1-4 (Display Rule)
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
On December 28, 1998,
INFORMATIONAL
Underwriting Activity Reports
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Technology
Trading and Market Making
Underwriting Activity Reports
Public Offerings
Executive Summary
NASD has amended its rules to require members to request Underwriting Activity Reports (UARs) from NASD's
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Interpretative Material 1011-1 (Safe Harbors for Business Expansions) ("IM-1011-1") to limit the types of violations of Rule 2110 (Standards of Commercial Honor and Principles of Trade) that would result in a member being ineligible to use the safe
INFORMATIONAL
Customer Account Statements
Effective Date: April 16, 2001
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Limited Partnerships
Operations
Customer Account Statements
Direct Participation Programs
Merchant Banking
NASD Rule 2340
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) has adopted amendments to National Association of
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions
GUIDANCE
Bond Mutual Fund Volatility Ratings
Effective Date: December 27, 2005
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Executive Representatives
Legal and Compliance
Mutual Fund
Registered Representatives
Senior Management
Bond Mutual Fund Volatility Ratings
IM-2210-5
Rule 2210
Executive Summary
On
