INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Board Elections
Executive Summary
The Annual Meeting of Members of NASD will be held on February
3, 2006 at 10 am in the NASD Visitors Center, 1735 K Street, NW,
in Washington, DC. The purpose of the meeting is to conduct the
election of Governors to the NASD Board. Members can raise other
topics for
FINRA Requests Comment on Proposed Funding Portal Rules and Related Forms
INFORMATIONAL
Non-Cash Compensation
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Rule 2710
Rule 2810
Non-Cash Compensation Provisions
Rule Modernization
Executive Summary
On April 7, 2003, NASD filed with the Securities and Exchange Commission (SEC) for immediate effectiveness
(a) When and How Transactions are Reported(1) OTC Reporting Facility Participants shall, as soon as practicable but no later than 10 seconds after execution, transmit to the OTC Reporting Facility, or if the OTC Reporting Facility is unavailable due to system or transmission failure, by telephone to the Operations Department, last sale reports of transactions in OTC Equity Securities executed
SEC Approves Amendments to TRACE Reporting Requirements to Conform With Requirements in the Multi Product Platform
SEC Approves New Requirements for Alternative Trading Systems
Mr. Chairman and Members of the Subcommittee: NASD is grateful to the committee for inviting us to testify on NASD's regulatory activities regarding inappropriate sales of certain investment products to members of the armed forces and NASD's financial education programs focused on military servicemembers and their families, and for allowing us to submit this statement for the record.
INFORMATIONAL
Bond Mutual Fund Volatility Ratings
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Executive Representatives
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
Remarks From MarketsMedia/Traders Magazine Equity Market Structure Town Hall Forum
The following is an overview of the rules and procedures applicable to funding portal members seeking to hire or retain a person who is or becomes subject to disqualification, and for funding portal members that themselves are or become subject to disqualification.General Information on FINRA’s Eligibility RequirementsUnder the FINRA By-Laws, no person shall be admitted to or continued in
