SUGGESTED ROUTING:*
Legal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On May 13, 1992, the Securities and Exchange Commission (SEC) approved amendments to Article V, Section 1 of the NASD Rules of Fair Practice. The amendments permit suspension of members and associated persons in disciplinary actions
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Research
Trading
Training
Executive Summary
On August 9, 1995, the Securities and Exchange Commission (SEC) approved a new Interpretation to Article III, Section 1 of the Rules of Fair Practice that prohibits a member firm from purposefully adjusting an inventory position in a particular security in anticipation of
Help for Arbitrators
I don’t know how to register for the DR Portal
I’m having trouble registering for the DR Portal
I’m having trouble uploading documents to or downloading documents from the DR Portal
Help for Parties
I’m a Claimant who filed a Statement of Claim but I can’t access the case on the DR Portal
I’m Claimant’s counsel and I can’t access the case on the DR Portal
I’m a
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceOptionsSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved changes to Part II of Schedule D to the NASD By-Laws requiring NASDAQ companies to notify the NASD of material news
Thank you for the invitation to speak and thank you all for coming today.
SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & ComplianceMutual FundRegistrationTraining
Executive Summary
The NASD is publishing this Notice to remind members, particularly members affiliated with banks or participating in bank networking arrangements, of their obligations under the Rules of Fair Practice to disclose to customers the varying risks of investing the
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTraining
Executive Summary
The NASD® requests comment on a proposed amendment to the Corporate Financing Rule under Article III, Section 44 of the Rules of Fair Practice intended to regulate the anti-dilution provisions of warrants received as underwriting compensation. The amendment would provide
FINRA Requests Comment on Proposed Amendments to FINRA Rule 4521 and New Supplemental Liquidity Schedule
TO: All NASD Members and Interested Persons
ATTN: Compliance and Registration Personel
This notice reviews the application of certain qualification and registration requirements of Schedule C of the NASD By-Laws for persons who solicit new accounts on behalf of members. It also announces the Securities and Exchange Commission's approval of an amendment to Schedule C, which expands the
SUGGESTED ROUTING:*
Senior ManagementGovernment SecuritiesLegal & ComplianceMunicipal*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD Fixed Income Securities Committee has considered the need for adequate disclosure in advertising relating to collateralized mortgage obligations (CMOs). The committee has determined that
