(a) General Prohibitions
(1) A member or a person associated with a member may not sell, or cause to be sold, a new issue to any account in which a restricted person has a beneficial interest, except as otherwise permitted herein.
(2) A member or a person associated with a member may not purchase a new issue in any account in which such member or person associated with a member has a beneficial
(a) General Prohibitions
(1) A member or a person associated with a member may not sell, or cause to be sold, a new issue to any account in which a restricted person has a beneficial interest, except as otherwise permitted herein.
(2) A member or a person associated with a member may not purchase a new issue in any account in which such member or person associated with a member has a beneficial
Virtual Arbitration Hearing StatisticsArbitration Statistics Through DecemberHistorical Statistics for Cases Filed and ClosedTop 15 Controversy Types in Customer ArbitrationsTop 15 Security Types in Customer ArbitrationsTop 15 Controversy Types in Intra-Industry ArbitrationsHow Arbitration Cases CloseResults of Customer Claimant Arbitration Award CasesResult of Customer Claimant Arbitration Award
GUIDANCE
Branch Office System Processing Fee
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registration
Senior Management
Branch Office Registration Fee
Branch Office System Processing Fee
Fees
Schedule A to NASD By-Laws
Executive Summary
Effective July 3, 2006, NASD members will be assessed an annual
$20 branch office system processing fee. Also effective July 3, 2006,
Effective Date: November 1, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTradingTraining
Executive Summary
On August 15, 1994, the Securities and Exchange Commission (SEC or Commission) approved amendments, in part, to Article III, Section 34 (Section 34), of the NASD Rules of Fair Practice prohibiting NASD members or associated persons from
SUGGESTED ROUTING
Senior ManagementCorporate FinanceGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining
Executive Summary
The NASD® has created a Member Buying Services department and consolidated responsibility for the operation of its existing sponsored programs under the
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Part 111, Section 5 of Schedule D to the NASD By-Laws to provide nonquantitative designation criteria for limited partnerships that list on the Nasdaq
INFORMATIONAL
Quotation Reporting
Effective Date: June 27, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Technology
Trading And Market Making
Market Making
OTC Securities
Recording And Reporting Quotation Data
Executive Summary
On March 27, 2003, the Securities and
INFORMATIONAL
Anti-Money Laundering CompliancePrograms
Effective date: December 31, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Compliance Programs
Money Laundering
Executive Summary
NASD has adopted amendments to NASD Rule 3011 (Anti-Money Laundering Compliance Program) to require each member to provide to
Trade Reporting Modifier for Trades that Qualify for the Intermarket Sweep Order Exception to the Trade-at Prohibition Under the Tick Size Plan
