Nominees for the District Committees and District Nominating Committees
The purpose of this Election Notice is to announce the nominees for the District Committees and the District Nominating Committees.1
The individuals identified in this Notice have been nominated for the District Committees and District Nominating Committees, for terms beginning in June 2008. The term of office for District Committee members is three years, unless an individual was selected to
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Executive Summary
The purpose of this Special Notice to
SEC Approves Rule Amendment to Create a New Academic Corporate Bond TRACE Data Product
Sec. 10.1 (a) FINRA Regulation shall indemnify, and hold harmless, to the fullest extent permitted by Delaware law as it presently exists or may thereafter be amended, any person (and the heirs, executors, and administrators of such person) who, by reason of the fact that he or she is or was a Director, officer, or employee of FINRA Regulation or a National Adjudicatory Council or
(a) Definition
For purposes of this Rule, the term "collateralized mortgage obligation" (CMO) refers to a multi-class debt instrument backed by a pool of mortgage pass-through securities or mortgage loans, including real estate mortgage investment conduits (REMICs) as defined in the Tax Reform Act of 1986.
(b) Disclosure Standards and Required Educational Material
(1)
Sec. 7.1 (a) FINRA Dispute Resolution shall indemnify, and hold harmless, to the fullest extent permitted by Delaware law as it presently exists or may thereafter be amended, any person (and the heirs, executors, and administrators of such person) who, by reason of the fact that he or she is or was a Director, officer, or employee of FINRA Dispute Resolution or a committee member, or
When used in the Capital Acquisition Broker Rules, unless the context otherwise requires:
(a) "Associated person of a capital acquisition broker" or "person associated with a capital acquisition broker"
The term "associated person of a capital acquisition broker" or "person associated with a capital acquisition broker" means: (1) a natural person
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Executive Summary
The Office of General Counsel, NASD Regulation, Inc. (NASD RegulationSM) is issuing this Notice to provide interpretive guidance to members regarding NASD® Rule 3050 and, in particular, paragraph (d) of the Rule. Rule 3050 was designed to obligate members to use reasonable
