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NASAA Qualification Examinations Rules of Conduct
The purpose of this notice is to make sure you understand and agree to the Qualification Examinations Rules of Conduct for examinations administered in test centers or remotely. You are required to agree to all of the following Rules of Conduct before starting your examination. Testing personnel are NOT authorized to grant exceptions to any of these rules. Personal Items I understand and
SEA Rule 15c3-3a Exhibit A and Related Interpretations
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Notice To Members 95-54
SUGGESTED ROUTING Senior Management Legal & Compliance Operations Training Executive Summary On June 9, 1995, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 21 of the NASD Rules of Fair Practice to require members to make and maintain a centralized do-not-call list of persons who do not wish to receive telephone solicitations
Notice To Members 95-15
Comment Period Expires April 24, 1995 SUGGESTED ROUTING Senior Management Government Securities Institutional Legal & Compliance Trading Executive Summary The Department of the Treasury (Treasury) recently issued an Advance Notice of Proposed Rulemaking (ANPR) under the Government Securities Act of 1986 (GSA). Treasury intends to implement rules to require persons
SEA Rule 17a-11 and Related Interpretations
Publication Date: February 23, 2023 Interpretations are marked in blue background beneath the rule text to which they relate. 17a-11 Notification provisions for brokers and dealers. This section applies to the following types of entities: Except as provided in this introductory text, a broker or dealer, including an OTC derivatives dealer as that term is defined in § 240.3b-12, registered
Notice To Members 94-95
Comment Period Expires January 31, 1995 SUGGESTED ROUTING Senior ManagementLegal & ComplianceRegistration Executive Summary The National Association of Securities Dealers, Inc. (NASD) requests comments on a proposed amendment to Article III of the Rules of Fair Practice (Rules) to require members to report to the NASD the occurrence of specified events and quarterly summary
Notice To Members 84-21
TO: All NASD Members On February 17, 1984, the Securities and Exchange Commission ("Commission" or "SEC") approved 1/ new Article III, Section 38 of the Association's Rules of Fair Practice, an Explanation of the Board of Governors, and an amendment to the Code of Procedure for Handling Trade Practice Complaints ("Code of Procedure"). These rule changes are
Notice To Members 94-9
SUGGESTED ROUTING Senior ManagementLegal & ComplianceOperationsSystemsTrading Executive Summary On January 6, 1994, the Securities and Exchange Commission (SEC) approved an amendment adding a new Section 46 to the NASD Rules of Fair Practice that requires members holding open orders to adjust the price and the size, if necessary, of the order by the amount of any dividend, payment
Notice to Members 98-102
SUGGESTED ROUTING Senior Management Internal Audit Legal & Compliance Operations     Executive Summary     Federal Reserve Board Regulation T governs the extension of credit to customers by broker/dealers. Among the provisions of Regulation T are requirements governing the initial margin
Net Capital
The Net Capital section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.