What is proper evidence of compliance with clock synchronization requirements pursuant to NASD Rule 6953?<br/>
The use of a member name without the corporate modifier “L.L.C.” on certain materials adequately denotes the name of the member and would not violate the requirement of NASD Rule 2210 (f)(2) to include a member name.
Application for Exemptive Relief from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System
The use of related performance information in institutional communications, subject to specific conditions, is consistent with the applicable standards of FINRA Rule 2210.
<p><span class="tableEntry">NASD Rule 2210 - Communications with the Public</span></p>The posting to a Web site of performance information as required by California state law does not constitute an advertisement under NASD Rule 2210.
<p>For purposes of reporting to TRACE only, a member may enter only <i>bona fide</i> commissions in the "commission" field and may charge a commission only in specified transactions.</p>
<p>Transactions in certain medium term notes, purchased and re-sold to retail customers during the offering period, should not be reported to TRACE as set forth in Rule 6230(e)(1) because the transactions are part of a primary distribution.</p>
