Mr. Chairman and Members of the Committee: NASD is grateful for the invitation to testify regarding self-regulation in the securities industry. NASD commends the Committee's efforts in reviewing the self-regulatory system.
SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & ComplianceMutual Fund
Executive Summary
Beginning May 1, 1994, the NASD will assess increased charges for the review of certain advertisements and sales literature, including printed material, video and audio media, printed and audio material in excess of a certain amount, and material submitted for expedited review. The text
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Operations
Systems
Trading
The NASD® will observe the following holiday schedule for 1996:
January 1
New Year's Day
February 19
President's Day
April 5
Good Friday
May 27
Memorial Day
July 4
Independence Day
September 2
Labor Day
November 28
Thanksgiving Day
December 25
Christmas Day
Proposed Rule Change to Amend FINRA Rule 8312 (BrokerCheck Disclosure)
Continuing Education Planning
<p>For purposes of Rule 2740, securities custodial, clearance and settlement services are not considered bona fide research.</p>
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
The NASD will observe the following holiday schedule for 1992:
January 1
New Year's Day
July 3
Independence Day (Observed)
February 17
Presidents' Day
September 7
Labor Day
April 17
Good Friday
The concept of efficient markets is a joke and short selling of any sort should be illegal. I have no faith in FINRA, DTCC, SEC, etc. Any further participation in the US market on my end will be through directly registered securities outside the DTC. Self-regulating organizations are non-regulated organizations. The SEC/DTCC/FINRA should have zero links to market makers, banks, and hedge-funds,
INFORMATIONAL
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Legal and Compliance
Operations Managers
Fees
NASD By-Laws
Executive Summary
On May 30, 2003, the Securities and Exchange Commission ("SEC" or "Commission") approved revisions to NASD By-Laws, eliminating the current
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
The NASD will observe the following holiday schedule in 1989:
January 2
New Year's Day (Observed)
July 4
Independence Day
February 20
Presidents' Day
September 4
Labor Day
March 24
Good Friday
November 23
