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Testimony Before the Committee on Financial Services Subcommittee on Investigations and Oversight
On behalf of the National Association of Securities Dealers ("NASD"), I want to thank the Committee for this opportunity to testify. My name is Daniel M. Sibears and I am a Senior Vice President and Deputy for Member Regulation at NASD in Washington, D.C.
Checklists for Mandatory Materiality Consultations Under Rules 1017(a)(6) and 1017(a)(7)
On This Page: Checklist for Mandatory Materiality Consultations Under Rule 1017(a)(6) Checklist for Mandatory Materiality Consultations Under Rule 1017(a)(7) Checklist for Mandatory Materiality Consultations Under Rule 1017(a)(6) A member must submit a letter requesting a materiality consultation for specified changes in ownership, control, or business operations,
Trade Reporting Notice – 12/5/16
Reporting of Information Relating to OTC Trades in NMS Stocks
Interpretive Letter to Claudia Crowley, NYSE Regulation, Inc.
<p>Orders involving Nasdaq-listed securities received by certain NYSE Amex floor brokers through NYSE Amex systems are not subject to the recording and reporting requirements in the OATS Rules.</p>
Interpretive Letter to Marilyn J. Sponzo, Jorden Burt
Separate sales contests under NASD Rule 2820(g) for group variable annuity contracts and employer-sponsored retirement plans.
Regulatory Notice 09-56
Proposed Changes to the Personnel Assessment and Gross Income Assessment Fees
Remarks at NSCP 2014 National Conference
The work you do is incredibly important, and we appreciate and respect your critical contributions to our shared objectives of investor protection and market integrity.
Regulatory Notice 14-07
SEC Approves New Requirements for Alternative Trading Systems
Notice To Members 95-76
SUGGESTED ROUTING Senior Management Legal &amp; 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.
Notice To Members 95-36
SUGGESTED ROUTING Senior Management Institutional Legal &amp; Compliance Mutual Fund Operations Systems Trading Executive Summary On March 17, 1995, the Securities and Exchange Commission (SEC) approved the NASD's amendments to Sections 5, 6, 12,46, and 64 of the Uniform Practice Code (the UPC) and Sections 1 and 26 of the Rules of Fair Practice (the RFP) to conform the NASD