INFORMATIONAL
Reg T And SEC Rule 15c3-3 Reason Codes
Effective Date: February 7, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Regulation T
SEC Rule 15c3-3
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Training
Executive Summary
On April 18, 1997, the National Association of Securities Dealers, Inc. (NASD®) proposed to the Securitiesand Exchange Commission (SEC or Commission) SR-NASD- 97-28, a rule filing containing
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Executive Summary
On February 21, 1997, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) an amendment to NASD ® Conduct Rule 2340 to regulate the disclosure of values for unlisted and illiquid direct participation program (DPP) and
SUGGESTED ROUTING
Senior Management
Advertising
Corporate Finance
Legal & Compliance
Registration
Trading
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) Office of the Ombudsman staff has helped resolve many issues and concerns raised by members and their associated persons, issuers and their associated persons, and investors.
<p>Clarification of <i>NASD Notice to Members 96-33</i>: application of Rule 3040 to registered representatives of a distributor who also are employed by investment advisers to manage the portfolios of investment companies.<br/></p>
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) in Release No. 34-30929 has announced the adoption of new temporary Rules 17h-1Tand 17h-2T establishing a risk assessment recordkeeping and reporting system for broker/
FINRA Requests Comment on Proposed FINRA Rules Governing Markups, Commissions and Fees
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
On August 10, 1995, the Securities and Exchange Commission (SEC) approved amendments to the NASD's rules to make a failure to honor a written and executed settlement agreement of a dispute arbitrated by any self-regulatory organization or mediated by the NASD® a violation of the Rules of Fair Practice.
Knowing oil investment vocabulary terms can help you better understand the energy markets. Here are a few common terms to get you started.
