On September 7, 2007, the SEC approved new NASD Rule 2821 regarding broker-dealers' compliance and supervisory responsibilities for deferred variable annuities.1 The rule text is set forth in Attachment A and is effective May 5, 2008.
NTM 06-72 supersedes NTM 06-60GUIDANCE
Customer Account Statements
SUGGESTED ROUTING
KEY TOPICS
Individual Investors
Legal & Compliance
Operations
Registered Representatives
Senior Management
Clearing Firms
Customer Account Statements
Introducing Firms
NASD Rule 2340
SIPA (Securities Investor
Protection Act)
SIPC (Securities Investor
Protection Corporation)
Executive
SEC Approves Rule to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies
ACTION REQUIREDBroker-Dealer and Investment Adviser RenewalsPayment Deadline: December 6, 2004SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceOperationsSenior ManagementRegistered Representative, RegistrationIARDSMMaintenance FeesRegistrationRenewalsWeb CRD®Executive SummaryThe 2005 NASD Broker/Dealer and Investment Adviser Registration Renewal Program will begin on
The FINRA Institute CRCP Scholarship Program provides small firms-those with less than 150 registered representatives-with a financial grant covering full tuition for the entire program, including room and board for the residential courses at Wharton.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, November 3, 1987, the following 15 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,087:
Symbol*
Company
Location
BMED
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 6, 1987, the following 17 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,063.
Symbol*
Company
Location
ARTW
SUGGESTED ROUTING*
Internal Audit
Legal & Compliance
Mutual Fund
Operations
Training
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to subsections (b)(7) — Definitions
FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of August 21, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
BIOB.GA
Bio-Rad Laboratories Inc.
