NASD has filed with the SEC a proposed rule change to amend Section 4(b) of Schedule A to the NASD By-Laws (hereinafter referred to as "Section 4(b)") to: (1) increase the $10.00 charge for each set of fingerprints submitted by a member to NASD for processing to $13.00; and (2) establish a $13.00 charge to be paid to NASD for posting each set of fingerprint results processed by another
NASD has filed with the SEC a proposed rule change to delay, until January 1, 2004, the implementation date of recent amendments to Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc. that were established by SR-NASD-2003-55. NASD filed SR-NASD-2003-55 to streamline the nomination and election processes governing NASD District Committees
NASD has filed with the SEC a proposed rule change relating to the new General Securities Principal Sales Supervisor Module (“Series 23”) examination program. NASD is proposing to accept the General Securities Sales Supervisor (“Series 9/10”) examination as an acceptable qualification alternative to the General Securities Principal (“Series 24”) examination for associated persons who are required
Reports published for firms to monitor their performance in reporting disclosure and non-disclosure events and CRD late filing fee information.
GUIDANCE
Equity-Indexed Annuities
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Executive Representatives
Insurance
Variable Contracts
Equity-Indexed Annuities
Rule 3030 (Outside Business Activities
of an Associated Person)
Rule 3040 (Private
NASD has filed with the SEC a proposed rule change to establish July 30, 2003, or until the date a superseding permanent exemption is approved by the SEC and becomes effective, as the effective date for Rules 2711(b) and (c) for members that over the previous three years, on average per year, have participated in 10 or fewer investment banking transactions as manager or co-manager and generated $
NASD has filed with the SEC a proposed rule change to extend the pilot program for the Trading Activity Fee (“TAF”) through June 1, 2003. The TAF pilot program (as originally proposed in SR-NASD-2002-98) is currently in effect and is set to expire on April 15, 2003. NASD is requesting the SEC approve SR-NASD-2002-148, granting permanent approval of the TAF, prior to the expiration of the TAF
(a) Hearings will be held, unless:
(1) The arbitration is administered under Rule 13800(c), Rule 13801, or Rule 13807(e)(1);
(2) The parties agree otherwise in writing; or
(3) The arbitration has been settled, withdrawn or dismissed.
(b) The panel will decide the time and date of the hearing at the initial prehearing conference or otherwise in another manner.
(c) The Director will notify the
NASD has filed with the SEC a proposed rule change to (1) amend Article V, Section 4 of the NASD By-Laws to permit NASD to suspend for failure to pay an arbitration award or settlement, for a period of two years after the award is entered, former associated persons who terminated their registration before the award was entered; and (2) amend Article VI, Section 3 of the NASD By-Laws to clarify
NASD has filed with the SEC a proposed rule change to extend the pilot program for the Trading Activity Fee (“TAF”) through April 15, 2003. The TAF pilot program (as originally proposed in SR-NASD-2002-98) is currently in effect and is set to expire on April 1, 2003. NASD is requesting the SEC approve SR-NASD-2002-148, granting permanent approval of the TAF, prior to the expiration of the TAF
