Participation of U.S. underwriters in the multinational offering of shares under NASD IM-2110-1(b)(8) and NASD Rule 2740(c) and NASD Rule 2750.
Supervision of Recommendations
after a Registered Representative
Changes Firms
Regulatory Notice
Notice
Type
Guidance
Referenced Rules & Notices
NTM 07-06
SEC Regulation S-P
Suggested
Routing
Compliance
Executive Representatives
Legal
Operations
Senior Management
Key Topic(s)
SEC Regulation S-P
Mutual Funds
Registered Representatives
Supervision
Variable Products
Executive
The leftist socialists Democratic party leadders needs to stay out of the American peoples personal life choices. The leftist socialists Democratic party leadders and even Republican leadders should not be able to invest into anything until they themselves are no longer holding a government office.
Summary
Effective February 25, 2021, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will decrease from its current rate of $22.10 per million dollars in transactions to a new rate of $5.10 per million dollars in transactions.
Finance-related questions should be directed to:
Amanda Rath, Manager, Finance
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: AUGUST 22, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Schedule C to the By-Laws that would establish a new level of registration — below the level of "Representative" — for persons in member firms whose activities are limited to providing current securities quotations and
The availability of complex products and options can potentially expand the investment opportunities for retail investors and, if properly understood, offer favorable investment outcomes (e.g., enhancing returns, limiting losses or improving diversification). However, important regulatory concerns arise when investors trade complex products without understanding their unique characteristics and
Remarks by Chairman and CEO Rick Ketchum at the Security Traders Association Annual Conference
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill
Dear Sir/Madam,
As an American Citizen, I should be able to invest in whatever public investment I choose.
I gave 30 years, putting my life on the line every single day, to protect the rights and freedoms of all American Citizens.
Those rights, that I fought so hard to protect, should not infringed upon. And if I want to invest MY own hard-earned money into something that I am fully capable of
(a) Persons Subject to Sanctions
If a Party, attorney for a Party, or other person authorized to represent others by Rule 9141, engages in conduct in violation of an order of a Hearing Officer, a Hearing Panel or, if applicable, an Extended Hearing Panel, or other contemptuous conduct during a proceeding, a Hearing Officer, Hearing Panel or, if applicable, an Extended Hearing Panel, may
