INFORMATIONAL
Notices to Members
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Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
Notices to Members
The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1999. Copies are available for $25 per
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Senior Management
Advertising
Legal & Compliance
Mutual Fund
Training
Executive Summary
The obligation of NASD® members under the Rules of Fair Practice with respect to mutual fund sales practices is a continuing concern of the NASD. The proliferation of new mutual funds and varied fee structures has significantly increased the options available for
On December 1, 2009, the SEC approved FINRA's proposed rule change to adopt a new set of rules governing clearly erroneous transactions in the consolidated rulebook.
Thank you for that kind introduction, Dean Johnson. I am afraid that the Road Ahead in Regulation may have changed in just the time we have been sitting here.
REQUEST FOR COMMENTFairness Opinions Issued by MembersComment Period Expires: January 10, 2005Note: The comment period was extended to February 1, 2005.SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementFairness OpinionsInvestment Banks Mergers and AcquisitionsProxy StatementsExecutive SummaryNASD is requesting comment on whether it should propose a new rule
SEC Approves Consolidated FINRA Customer Order Protection Rule
SEC Approves Amendments to FINRA Dispute Resolution By-Laws
INFORMATIONAL
Nasdaq National Market Execution System
Effective Date: July 10, 2000
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KEY TOPICS
Institutional
Legal & Compliance
Operations
Senior Management
Systems
Trading & Market Making
Nasdaq National Market Execution System
SelectNet
Small Order Execution System
Trading
Executive Summary
On January 14, 2000, the Securities and
Changes Effective: Immediately
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KEY TOPICS
Legal & Compliance Operations Senior Management
NASD Rule 11890
Executive Summary
On January 22, 2003, the Securities and Exchange Commission (SEC) approved changes to NASD Rule 11890 regarding the handling of clearly erroneous transactions. The changes, which take effect immediately, are intended
INFORMATIONAL
Margin Disclosure and Day-Trading Risk Disclosure Statements
Effective Date: July 1, 2002
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KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Day-Trading Risk Disclosure
