REQUEST FOR COMMENT
Membership Application Rules
Comment Period Expires: September 20, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Membership Application Process
Membership Continuation Process
Rule 1014
Rule 1017
Executive Summary
NASD requests comment on proposed amendments to Rules 1014 and 1017. Rule 1017(a) sets forth certain
I totally disagree with the regulators. If rule change all the money I loss with never recover
Hello, as a financial services professional I oppose SEC proposed rule #S7-24-15
I thought this is a free country! Stop restricting freedom of investors and changing the rules of the game!
Updated SEC No-Action Guidance and Instructions on Electronic Filing of Broker-Dealer Annual Reports
Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements
NASDR has filed with the SEC a proposed rule change to National Association of Securities Dealers, Inc. Rules 3010 and 3110 to further delay the effective date of one of the provisions in recently-approved amendments to these rules.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") Notice to Members ("NTM") 06-03, which provides guidance regarding the application of new Rule 2111 prohibiting members from trading ahead of customer market orders under certain circumstances.
Proposed Rule Change to Establish An Administration and Delivery Fee for the Municipal Advisor Representative Examination (“Series 50 examination”)
SUGGESTED rOUTING
Senior Management
Continuing Education
Legal & Compliance
Executive Summary
The Securities Industry/regulatory Council on Continuing Education (Council) includes 13 members representing a cross-section of securities firms and six self-regulatory organizations (SrOs).1
