GUIDANCEBranch Office DefinitionEffective Date: May 1, 2006SUGGESTED ROUTINGKEY TOPICSContinuing EducationLegal & ComplianceOperationsRegistered RepresentativesRegistrationSenior ManagementTrainingBranch Office DefinitionBranch Office RegistrationCentral Registration Depository(CRD® or Web CRD)Form BR (Uniform Branch OfficeRegistration Form)IM-3010-1Internal InspectionsRule
(a) Filing Requirement
Except as provided in Rule 1013(a)(2), all forms required to be filed by Article IV, Sections 1, 7, and 8, and Article V, Sections 2 and 3, of the FINRA By-Laws shall be filed through an electronic process or such other process FINRA may prescribe to the Central Registration Depository.
(b) Supervisory Requirements
(1) In order to comply with the supervisory procedures
Comment Period Expires October 3, 1994
SUGGESTED ROUTING
Senior Management Corporate Finance Institutional Legal & Compliance Mutual Fund
Executive Summary
The NASD requests member comment on proposed amendments to Article III, Sections 26 and 29 of the Rules of Fair Practice that would revise existing rules applicable to the sale of investment company securities and establish new
CAT
Best Execution
Large Trader Reporting
Market Access
Vendor Display Rule
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Pre-time stamping of order tickets in connection with block positioning is contrary to Rule 4511.
Adopted by SR-FINRA-2010-052 eff. Dec. 5, 2011.Selected Notice: 11-19.
All capital acquisition brokers are subject to FINRA Rules 2080 and 2081.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
NASD has filed a proposal to conduct background verification and charge an application fee for NASD neutral roster applicants. NASD is not proposing any textual changes to the By-Laws or Rules of NASD.
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD is publishing the views of the Corporate Financing Committee on questions that members frequently ask when they are involved in offerings of securities to be conducted pursuant to SEC Rule
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: SEPTEMBER 30, 1985
The National Association of Securities Dealers, Inc. (NASD), is soliciting comments from members and other interested persons on a proposed new rule (new paragraph (m), Article III, Section 26, NASD Rules of Fair Practice) that would govern the prompt payment by NASD members for investment company shares
GUIDANCE
Margin Requirements
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Margin
Options
Operations
Senior Management
Margin Requirements
Options
Rule 2520
Rule 2522
Executive Summary
On April 3, 2006, NASD filed with the Securities and Exchange Commission (SEC) for immediate effectiveness a rule change to amend NASD
