NASD Regulation Department of Enforcement will not, unless directed otherwise, institute enforcement action against NASD member firms that send group e-mails to two or more existing or prospective customers that qualify as "institutional accounts" under Rule 3110(c)(4) or existing customers that qualify as "qualified purchasers" under Section 3(c)(7) of the Investment Company Act of 1940 without securing prior approval by a registered principal of those communications, subject to the condition that the firms supervise and review the group e-mails in accordance with the standards of Rule 3010(d).
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Municipal
Executive Summary
On May 28, 1998, the National Adjudicatory Council (NAC) considered two requests for exemptive relief under Municipal Securities Rulemaking Board (MSRB) Rule G-37(i). The NAC's decisions are published belowin redacted form, pursuant to a publication policy that the NAC adopted,
Application for exemptive relief from trade reporting obligation for certain teransactions on an Alternative Trading System
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The free Retirement, Your Way: Tips for Smarter Investing dinner seminar originally scheduled for Thursday, August 17, in St. Louis has been postponed. We will update this page with more
Finra regulatory rules pertaining to leveraged and inverse funds should not be changed. The choice and ability to own and invest in these instruments should not be limited to high net worth individuals. Investing in the leveraged funds is safer than using margin. Finra's current rules should not be changed.
GUIDANCENASD Releases Minor Rule Violation Plan (MRVP) GuidelinesSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceRegistered RepresentativesSenior ManagementMinor Rule Violation Plan (MRVP)SanctionsExecutive SummaryIn 1993, NASD established the Minor Rule Violation Plan (MRVP or the Plan) to provide NASD with a process for imposing meaningful sanctions for rule violations that may not warrant
INFORMATIONAL
Margin Disclosure Statement
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Customer Disclosures
Margin
As described in NASD Notice to Members (NtM) 01-31 (May 2001), on April 26, 2001, the Securities and Exchange
Executive Summary
The Securities and Exchange Commission (SEC) has approved amendments to the definitions of "Bona Fide Independent Market" and "Bona Fide Independent Market Maker" in Rule 2720 of the NASD's Conduct Rules (Rule) (formerly Schedule E to the NASD's By-Laws). The approved amendments revise the definitions to determine eligibility for an exception from
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to establish May 31, 2007 as the effective date of the amendments to Rule 2340 (concerning customer account statements) that the SEC approved in September 2006 (SR-NASD-2004-171). The amendments require customer account statements to include a statement advising customers
While the financial industry does need strong oversight, this rule is too restrictive. I oppose this rule and feel like it will result in fewer alternatives for investors. The ability to use leverage can certainly increase or decrease returns substantially. I want the ability to take advantage of leverage.
