Displaying 4771 - 4780 of 33944 Results
Notice to Members 03-63
ACTION REQUIRED Expense-Sharing Agreements SUGGESTED ROUTING KEY TOPICS Accounting Executive Representatives Internal Audit Legal & Compliance Operations Senior Management Expense-Sharing Agreements Net Capital Recordkeeping SEC Rule 15c3-1 SEC Rules 17a-3, 17a-4, and 17a-5 Executive Summary On
Notice to Members 04-36
GUIDANCE Expedited Proceedings SUGGESTED ROUTING KEY TOPICS Legal & Compliance Expedited Proceedings Rule 9550 Series Executive Summary On March 9, 2004, the Securities and Exchange Commission (SEC) approved an NASD proposed rule change that creates the Rule 9550 Series to consolidate, clarify, and streamline most
Notice to Members 04-37
SEC Approves Rules Requiring Members to Create Business Continuity Plans and Provide Emergency Contact Information
Notice to Members 03-64
INFORMATIONAL SEC Approves Arbitrator Background Verification Process Effective Date: October 1, 2003 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Arbitration Executive Summary On September 25, 2003, the Securities and Exchange Commission (SEC) approved a proposal to conduct background verification
Notice to Members 03-65
INFORMATIONAL Sanction Guidelines SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Registered Representatives Senior Management NASD Sanction Guidelines Rule 3030 Outside Business Activities Rule 3040 Selling Away Recidivists Executive Summary The NASD Sanction Guidelines (
Notice to Members 03-66
Amendments to NASD Rules Regarding Margin Requirements Effective Date: December 1, 2003 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Senior Management Margin Requirements Regulation T Rule 2520 Executive Summary On August 25, 2003, the Securities and Exchange Commission (SEC) approved amendments to
Notice to Members 03-67
INFORMATIONAL Amendments to NASD Rules Regarding the Regulation of Activities of Members Experiencing Financial and/or Operational Difficulties Effective Date: December 1, 2003 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Senior Management Rule 3130 Rule 3131 Rule 9160 Rule 9400 Series Net Capital
Interpretive Letter to Marilyn A. Sponzo, Jordan Burt
<p>Separate sales contests are permissible under NASD Rule 2820(g) for group variable contracts.</p>
Interpretive Letter to Tom Fleming, Dealogic
<p>Use of third parties to aid in compliance with NASD Rule 2790(b).</p>
Interpretive Letter to Name Not Public
<p>Cash rebates issued to pension plan customers with respect to secondary market transactions in outstanding securities (under former Article III, Section 24, now Rule 2740 and IM-2740).</p>