CheckWire Payments Reflected In CRD Accounts
Proposed Rule Change Relating to Motions to Dismiss in Arbitration
Executive Order Targeting Terrorists; Exams Now Offered In Singapore
INFORMATIONAL
Options Rule
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Trading & Market Making
Options
NASD Rule 2860
Executive Summary
On December 13, 2000, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rule 2860.1 The
FINRA is conducting an inquiry with respect to non-traded Business Development Companies (“BDCs”).
OTCE Historical Data Download Files
ACTION REQUIRED
Broker/Dealer And Agent Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Registration
Renewals
Web CRD
Executive Summary
The 2001 Renewal Program for the National Association of Securities Dealers, Inc. (NASD®) broker/dealer and agent
FINRA Adopts Amendments Relating to the Regulation NMS Plan to Address Extraordinary Market Volatility
INFORMATIONAL
Sunset Of Large And Complex Cases Rule
Effective Date: December 31, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Arbitration
Large and Complex Cases
Executive Summary
On November 17, 2000, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) rules that revise Rule
Proposed Rule Relating to use of the Dispute Resolution Party Portal in Arbitration and Mediation
