GUIDANCE
Option Disclosure Documents
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Options
Institutional
Senior Management
Trading
Disclosure Documents Delivery
Characteristics and Risks of
Standardized Options
Special Statement for Uncovered
Option Writers
Options
Rule 2860
Executive Summary
On August 17, 2006, NASD filed with the Securities and Exchange
Commission (
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
This notice announces adoption of an amendment to Article HI, Section 35 of the NASD Rules of Fair Practice. The amendment was adopted by the NASD Board of Governors in response to the use by certain members of misleading advertising and improper sales literature in the marketing of public direct participation programs.
The
SEC Approves Amendments to Equity Trade Reporting and OATS Rules
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, January 7, 1986, 29 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,214. These 29 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
The Crypto Asset Developments topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
TO: All NASD Members and Other Interested Persons
ATTN: Corporate Financing Department
The Board of Governors has adopted amendments to the filing requirements of the Interpretation of the Board of Governors — "Review of Corporate Financing," which will be effective on March 1, 1985. The text of the amendments is attached to this notice. The amendments will exempt from the filing
(a) General Prohibitions
(1) A member or a person associated with a member may not sell, or cause to be sold, a new issue to any account in which a restricted person has a beneficial interest, except as otherwise permitted herein.
(2) A member or a person associated with a member may not purchase a new issue in any account in which such member or person associated with a member has a beneficial
TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers, Inc. ("NASD" or "Association") is announcing a change in its policy with respect to overallotment options for firm commitment offerings. On August 4, 1983, the Securities and Exchange Commission ("SEC") approved an amendment to the Interpretation of the Board of
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce the
nominees for the District Committees and the District Nominating
Committees.1 The individuals identified in this
TO: All NASD Members and Other Interested Persons
ATTENTION: Direct Participation Programs Department
The Association's Direct Participation Programs Committee ("Committee") has become concerned about the continuing proliferation of sales incentives provided by the sponsors of public direct participation programs. The Committee and the Board of Governors have approved a proposed
