NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rule 2860 (Options) to (1) require that a copy of each amendment to the options disclosure document, Characteristics and Risks of Standardized Options, be distributed to each customer not later than the time of the delivery of a confirmation of a transaction in
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EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to the Rules of Fair Practice to require members entering into clearing or carrying agreements to specify the obligations and supervisory responsibilities of both the
NASDR has filed with the SEC a proposed rule change to require certain NASD members to conduct or to participate in computer tests designed to address the Year 2000 problem.
INFORMATIONAL
Selling Away And Outside Business Activities
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Promissory Notes
NASD Rule 3030
NASD Rule 3040
Supervision
Executive Summary
NASD Regulation, Inc. (
Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders
Last Voting Date: April 23, 1993"
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Executive Summary
The NASD invites members to vote on a proposed amendment to the NASD By-Laws and Rules of Fair Practice to make all rule approval procedures under the NASD's By-Laws uniform (presently some need only Board approval; others need full membership approval) and to
Dear SEC I am appalled by your recent proposal to restrict investment in leveraged and inverse ETFs to investors with a high net worth. Particularly inverse ETFs are one the few convenient ways that smaller investors presently have to hedge their risk against a bear market. By restricting these funds to the very wealthy, your rule's primary outcome will be that high net worth investors can
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REQUEST FOR COMMENT
Investment Analysis Tools
Comment Period Expires: September 13, 2002
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Investment Analysis Tools
Rule 2210
Executive Summary
NASD Rule 2210(d)(2)(N) prohibits NASD member firms from making predictions or projections of investment results to the
Guidance on the Net Capital and Reserve Formula Treatment of Senior Unsecured Debt Securities Issued Under the Debt Guarantee Program Component of the FDIC's Temporary Liquidity Guarantee Program; Effective Date: July 15, 2009
