I am here today to tell you about the NASD’s recently proposed rules governing analyst recommendations. In light of what we have heard today and in the weeks following the Enron revelations, I think you will agree that these rules will help American investors.
INFORMATIONALOptions ExemptionSUGGESTED ROUTING KEY TOPICS Legal and ComplianceOperations ManagersSenior Management Options ExemptionTrading Activity Fee Executive SummaryOn May 30, 2003, the Securities and Exchange Commission (SEC or Commission) permanently approved revisions to NASD By-Laws, eliminating the current Regulatory Fee assessed upon NASD members
Its my money I worked for it quit changing things to suit who ever is in office right now
Nominees For District Committees And District Nominating Committees
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
IMPORTANT
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
COMMENTS MUST BE RECEIVED BY OCTOBER 1, 1984
The National Association of Securities Dealers, Inc. (the "Association" or "NASD") is publishing for comment a proposed new Section 65 to the Association's Uniform Practice Code which would establish procedures for customer account
INFORMATIONAL
Imposition Of Censures
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Disciplinary Actions
NASD Sanction Guidelines
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 of its own organizational structure.
Executive Summary
In July 1999
Firms applying for FINRA membership, with the exception of sole proprietorships, must have at least two registered principals and one Financial and Operations Principal (FinOp), according to FINRA Rule 1010 Series. Applicant firms, however, may request a waiver or exemption from the two principal requirement in accordance with FINRA Rule 9610 if the firm will be conducting a very limited scope of
Background
Until mid-2017, FINRA maintained two distinct enforcement teams within the organization—one handling disciplinary actions related to trading-based matters found through our market surveillance and trading examination programs, and the other handling cases referred from other regulatory oversight divisions within FINRA, such as sales practice examinations and our Office of Fraud
INFORMATIONAL
Arbitration
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Training
Arbitration
Discovery Guide
The Suggested Routing function is meant to aid the reader of this document. Each NASD
INFORMATIONAL
Imposition And Collection Of Monetary Sanctions
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Disciplinary Actions
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 of its own organizational structure.
Executive Summary
The purpose
