NASD Regulation, Inc., has filed with the SEC proposed revisions to the study outline and examination specifications for the General Securities Principal (Series 24) and the Corporate Securities Limited Representative (Series 62) qualification examinations to reflect changes to the rules, regulations, and practices covered by these examinations. The question banks for the Series 24 and 62
NASD Regulation, Inc., has filed with the SEC revisions to the examination specifications and study outline for the Investment Company Products/Variable Contracts Limited Principal (Series 26) examination program. The proposed revisions would update the material to reflect changes to the rules, regulations, and practices covered by the examination. The proposed revisions are reflected in the
NASD Regulation, Inc., has filed with the SEC a Notice to Members 01-23 reminding members that they have suitability obligations when they make recommendations to customers online.
NASD has filed with the SEC a proposed rule change to the By-Laws of the National Association of Securities Dealers, Inc. ("NASD" or "Association") to address several corporate governance issues, including the treatment of staff Governors for purposes of Industry/Non-Industry balancing; the role of the National Nominating Committee (NNC) in contested elections; the petition
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Mutual Fund
Research
Syndicate
Systems
Trading
Training
*These are suggested departments only. Others may be appropriate for your
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD is publishing a suggested Customer Suitability Statement and Agreement to Purchase Form to assist members in complying with SEC Rule 15c2-6.
BACKGROUND AND SUMMARY
Effective January 1, 1990, the SEC
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceGovernment SecuritiesLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On October 28, 1992, the Securities and Exchange Commission (SEC) approved an amendment to Article III, Section 35 of the Rules of Fair Practice and Section 8 of the NASD's Government
Reports published for firms to monitor their performance in reporting disclosure and non-disclosure events and CRD late filing fee information.
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or Commission) has approved new Article III, Section 44 of the Rules of Fair Practice (Corporate Financing Rule or Rule), for the review of
<p>Fair Labor Standards Act class actions are ineligible for arbitration in the NASD Regulation forum.<br />
</p>
