Update to Web CRD Firm Notification Functionality
NASD, as part of its continuing efforts to assist member firms in fulfilling their compliance and registration-related requirements, is introducing an expanded e-mail notification service to all firms beginning August 22. The e-mail notifications, which are listed below, are intended to assist firms in identifying (1) material changes to a
Effective: Immediately
SUGGESTED ROUTING
Corporate Finance
Legal & Compliance
Syndicate
Trading
Executive Summary
On October 3, 1997, the Securities and Exchange Commission (SEC) approved, on an accelerated basis, amendments to National Association of Securities Dealers, Inc
Executive Summary
On April 17, 1998, in Release No. 34-39883, the Securities and Exchange Commission (SEC) approved an amendment to National Association of Securities Dealers, Inc. (NASD®) Rule 3010 to require members to establish special supervisory procedures, including the tape recording of conversations, when they have hired more than a specified percentage of registered persons from certain
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Veterans' Day And Thanksgiving Day: Trade Date — Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veterans' Day, Tuesday, November 11, 1997, and Thanksgiving
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Regulatory Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council), on which the National Association of Securities Dealers, Inc. (NASD®)
Suggested Routing
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Veterans' Day And Thanksgiving Day: Trade Date-Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veterans' Day, Monday, November 11, 1996, and Thanksgiving Day, Thursday, November 28, 1996. On
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered
IMPORTANT
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission has approved a recodification of the NASD By-Laws 1/ and a revised Code of Procedure. 2/ The text of these amendments, which were effective upon approval by the Commission, 3/ is attached.
Over the past several years, the Association's Ad Hoc Committee on
ZANBATO SECURITIES LLC711 / 715 N. SHORELINE BLVD., MOUNTAIN VIEW, CA 94043ZELMAN PARTNERS, LLC27101 EAST OVIATT ROAD, SUITE 14, BAY VILLAGE, OH 44140ZENITH SECURITIES LLC1061 E INDIANTOWN ROAD, SUITE 318, JUPITER, FL 33477ZEUS FINANCIAL, LLC4800 T-REX AVENUE, SUITE 100, BOCA RATON, FL 33431ZINK DISTRIBUTION SOLUTIONS2937 SW 27TH AVENUE, SUITE 302/303, COCONUT GROVE, FL 33133ZINVEST FINANCIAL
SEC Approves Consolidated FINRA Customer Order Protection Rule
