ACTION REQUIRED
Effective Date: January 1, 2004
SUGGESTED ROUTING
KEY TOPICS
Finance
Legal and Compliance
Operations
Senior Management
Systems
Late Payments
Background
Effective January 1, 2004, The Nasdaq Stock Market, Inc. (NASDAQ) will implement a new service termination policy for members, issuers, and other market
INFORMATIONAL
Board of Governors Nominees
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Senior Management
NASD Board of Governors
The Annual Meeting of members of NASD will be held on January 6, 2004. The formal notice of the meeting, including the precise date, time, and location of the Annual Meeting, will be mailed on
<p>Secondary market trading in Fidelity Nasdaq Composite Index Tracking Stock would be consistent with the requirements of NASD Rules 2110, 2420, 2830(c), (g), and (i), and Interpretive Material 2830-2.</p>
Direxion put out a request for investors in their products to comment on this proposed action. I figure it would be better to avoid going through their portal. The consensus seems to be that the proposed action, in its details, would ban most investors from purchasing inverse and leveraged funds. These comments apply to exchange traded inverse and leveraged funds, and not similar products that
Financial planners can come from a variety of backgrounds and offer a variety of services. They might be brokers or investment advisers, insurance agents or practicing accountants—or they might have no financial credentials at all.
(a) Alternative Trading Systems' Recording Requirements
(1) Each alternative trading system that accepts orders for security futures (as defined in Section 3(a)(55) of the Exchange Act) shall record each item of information described in paragraph (b) of this Rule. For purposes of this Rule, the term "order" includes a broker-dealer's proprietary quotes that are
(a) The following are specifically applicable to transactions and business activities relating to securities that, prior to October 26, 2009, had been designated by The Nasdaq Stock Market LLC for inclusion in the PORTAL Market ("PORTAL securities"):
(1) Rules 0130, 0140, 2010, 2020, 2111, 2121, 2232, 2251, 2261, 2262, 2269, 5310, and 8210;
(2) the Rule 8100 and 8300 Series; and
(3)
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ACTION REQUESTED
Board Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Board Elections
The Annual Meeting of Members of the National Association of Securities Dealers, Inc. (NASD®) will be held on September 13, 2001, at 10:00 a.m., at the Loews L'Enfant Plaza Hotel, 480 L'Enfant Plaza, SW, in Washington, DC. The purpose of the meeting is to
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS JUNE 3, 1988
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed amendment to Article V, Section 1 of the NASD Rules of Fair Practice and Section 12(2) of the proposed Government Securities Rules. The amendments would remove the current limitation of $15,000 that a member or person
