INFORMATIONAL
Exempted Securities
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Exempted Securities
Government Securities
Group Variable Contracts
Non-Cash Compensation
Executive Summary
On July 31, 2001, the
<p>Application of Rule 2820 (h) to a non-cash compensation arrangement that excludes variable annuity contracts that are sold in exchange transactions pursuant to Internal Revenue Code Section 1035 or pursuant to a rollover transaction under Internal Revenue Code Section 402.<br />
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Remarks by Executive Vice President Thomas M. Selman at the IRI Government, Legal and Regulatory Conference
An Asset-Backed Security (ABS) offers returns based on the repayment of debt owed by a pool of consumers. ABS data is collected through TRACE (Trade Reporting And Compliance Engine) and compiled with data from multiple sources, including but not limited to Refinitiv, S&P, Moody’s, and Black Knight Technologies.
Data field
Definition
Why we share this
Heightened Supervision of Complex Products
Administrative Changes to the Continuing Education Regulatory Element Programs
As of May 12, 2025ATS NameATS IDFirm NameCommentABE ATSABEX303 ALTERNATIVES LLC AlphaX US ALPXTSX Alpha U.S., Inc. AMERICAN LEDGER ATSCSTNAMERICAN LEDGER ATSCeased on July 31, 2021APOGEEAPOGCITADEL SECURITIES LLCCeased on April 2, 2015AQUAAQUAAQUA SECURITIES L.P.Ceased on September 16, 2022AX TRADING, LLCAXTNAX TRADING, LLCCeased on April 30, 2021BARCLAYS
SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & ComplianceMutual FundTraining
Executive Summary
On March 17, 1994, the Securities and Exchange Commission (SEC) approved amendments to the NASD Rules of Fair Practice to: (1) require filings of investment company advertisements and sales literature that incorporate mutual fund rankings to include a copy of the ranking or
Go beyond stocks and bonds, and explore alternative investments for enhanced returns and diversified portfolios. Understand the risks before you dive in.
<p>Direct payments of securities-based compensation by a member to the associated persons of another member are not permitted under NASD Rules 2820(g) and 2830(l) absent an SEC No-action letter or interpretive release. Further, proposed arrangement may require dual registration of associated persons.</p>
