Displaying 3271 - 3280 of 4042 Results
Notice To Members 91-28
SUGGESTED ROUTING:* Senior ManagementLegal & ComplianceOperationsRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY Members may now opt to use a new test, the Series 17 Limited Registered Representative Examination, to qualify some candidates as NASD General Securities Representatives. To be eligible, a candidate
Notice To Members 92-21
SUGGESTED ROUTING:* Senior ManagementInternal AuditOperationsTrading*These are suggested departments only. Others may be appropriate for your firm. On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market securities was established as follows: A 1,000-share maximum order size was applied to those Nasdaq National Market securities that
Notice To Members 88-67
SUGGESTED ROUTING* Senior ManagementLegal & ComplianceOperationsRegistration *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The NASD reminds members that the NASD By-Laws and Rules of Fair Practice require that complete and accurate information be provided on Forms U-4 and U-5 and that members are responsible for investigating a
Notice To Members 90-52
SUGGESTED ROUTING* Senior ManagementLegal & ComplianceOperationsTraining *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The SEC has approved amendments to Article III, Sections 2 and 21 (c) of the Rules of Fair Practice ("Rules") to require NASD members to make reasonable efforts to obtain additional information
Interpretive Letter to Pamela M. Krill, Esquire, Godfrey & Kahn, S.C.
<p>Direct payments of securities-based compensation by a member to the associated persons of another member are not permitted under NASD Rules 2820(g) and 2830(l) absent an SEC No-action letter or interpretive release. Further, proposed arrangement may require dual registration of associated persons.</p>
Interpretive Letter to Pamela M. Krill, Esquire, Godfrey & Kahn, S.C.
<p>Direct payments of securities-based compensation by a member to the associated persons of another member are not permitted under NASD Rules 2820(g) and 2830(l) absent an SEC No-action letter or interpretive release. Further, proposed arrangement may require dual registration of associated persons.</p>
Notice To Members 93-12
SUGGESTED ROUTING Senior ManagementLegal &amp; ComplianceMutual Fund Executive Summary Since the Securities and Exchange Commission (SEC) approved new NASD® rules governing investment company sales charges on July 7, 1992, the NASD has fielded numerous questions from member firms and mutual funds concerning the interpretation and application of these rules. In anticipation of
2232. Customer Confirmations
(a) A member shall, at or before the completion of any transaction in any security effected for or with an account of a customer, give or send to such customer written notification ("confirmation") in conformity with the requirements of SEA Rule 10b-10. (b) A confirmation given or sent pursuant to this Rule shall further disclose: (1) with respect to any transaction in any NMS stock,
2025 Small Firm Conference
The Small Firm Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.
Notice To Members 90-19
SUGGESTED ROUTING* Senior Management Legal &amp; Compliance *These are suggested departments only. Others may be appropriate for your firm. REQUEST FOR COMMENTS EXECUTIVE SUMMARY The Board of Governors ("Board") has approved the recommendations of the Special Committee on NASD Structure and Governance ("Special Committee").