Displaying 19921 - 19930 of 34009 Results
Notice to Members 03-66
Amendments to NASD Rules Regarding Margin Requirements Effective Date: December 1, 2003 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Senior Management Margin Requirements Regulation T Rule 2520 Executive Summary On August 25, 2003, the Securities and Exchange Commission (SEC) approved amendments to
Notice to Members 03-67
INFORMATIONAL Amendments to NASD Rules Regarding the Regulation of Activities of Members Experiencing Financial and/or Operational Difficulties Effective Date: December 1, 2003 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Senior Management Rule 3130 Rule 3131 Rule 9160 Rule 9400 Series Net Capital
Notice to Members 04-38
GUIDANCE Credit Extension/Day Trading Requirements SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Senior Management Day Trading Margin Requirements Regulation T Rule 2520 Executive Summary On March 11, 2004, NASD announced a disciplinary action that resulted in a $10 million fine against three
Notice to Members 03-68
ACTION REQUIRED Fee-Based Compensation SUGGESTED ROUTING KEY TOPICS Legal and Compliance Registered Representatives Senior Management Charges for Services Performed Fee-Based Compensation NASD Rule 2110 NASD Rule 2430 Executive Summary Fee-based programs typically charge a customer a fixed fee or percentage of assets
Notice to Members 03-69
ACTION REQUIRED Electronic Communications Networks Changes Effective: November 10, 2003 SUGGESTED ROUTING KEY TOPICS Executive Representative Legal & Compliance Operations Senior Management Transaction Reporting Electronic Communication Networks Executive Summary NASD is issuing this Notice to replace and
Notice to Members 03-70
INFORMATIONAL Discovery SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Arbitration Discovery Executive Summary NASD rules require parties to NASD arbitrations to cooperate in the voluntary exchange of documents and information, and to respond to discovery requests from other parties within a certain
Notice to Members 03-71
INFORMATIONAL Non-Conventional Investments SUGGESTED ROUTING KEY TOPICS Legal/Compliance Retail Senior Management Internal Audit Advertising and Sales Literature Due Diligence Non-Conventional Investments Suitability Executive Summary In the aftermath of the recent downturn in the equity markets, NASD reviewed the
Notice to Members 03-72
REQUEST FOR COMMENT Proposed Rule Governing Allocations and Distributions of Shares in Initial Public Offerings (IPOs) Comment Period Expires: January 9, 2004 SUGGESTED ROUTING KEY TOPICS Corporate Financing Legal & Compliance Senior Management Trading & Market Making IPO Allocations IPO Pricing Rule 2710
Notice to Members 03-73
INFORMATIONAL Online Comments SUGGESTED ROUTING KEY TOPICS Legal & Compliance Registered Representative Senior Management Notices to Members Public Access to Comments Requests for Comment Executive Summary NASD today announced that it is now making available on its Web Site comments filed in response to Notices
Notice to Members 03-74
INFORMATIONAL Limit Order Protection SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Operations Senior Management Trading And Market Making Limit Order Protection Market Making Multiple MPIDs Executive Summary Recently The Nasdaq Stock Market, Inc. (NASDAQ) began permitting market makers and