NASD Regulation, Inc., has filed with the SEC the examination specifications and study outline for the Limited Representative-Private Securities Offerings (Series 82) examination program. The Series 82 examination program is proposed in connection with a proposed change to NASD Rule 1032 to implement Section 203 of the Gramm-Leach-Bliley Act of 1999 ("GLBA"), which requires the NASD, as
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
Request to ban naked short selling and to implement rules that curb it (e.g., T-0). Increase transparency of market makers. Follow in other countries' footsteps in bringing criminal charges and impactful fines ($1B+) against violaters.
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.
All my liberty's seem to be under attack I can choose how to invest with out regulatory over reach. I dont need need or want this proposal. You do not need to protect me from myself I am perfectly capable to choose investments. Please keep your rules out of my life.
(a) No member or person associated with a member shall cause to be executed an order to buy or sell a security or a related financial instrument when such member or person associated with a member causing such order to be executed has material, non-public market information concerning an imminent block transaction in that security, a related financial instrument or a security underlying the
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
Allow us the right to invest what we want. Why does the government always think they can control what its people do? If we had all these rules in place when this country was founded we would cease to exist as country. It's our hard earned money we are investing.
<p>Fair Labor Standards Act class actions are ineligible for arbitration in the NASD Regulation forum.<br />
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