Displaying 691 - 700 of 1291 Results
Notice to Members 04-58
GUIDANCEPartial Customer Account TransfersEffective Date: September 13, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementAutomated Customer Account TransferService (ACATS)Rule 11870Executive SummaryOn July 14, 2004, the Securities and Exchange Commission (SEC) granted accelerated approval of amendments to Rule 11870 making the procedures for
Notice To Members 93-40
SUGGESTED ROUTING Senior ManagementCorporate FinanceLegal & ComplianceOperationsSyndicate Executive Summary The NASD requests comment on proposed amendments to the Free-Riding and Withholding Interpretation under Article III, Section 1 of the Rules of Fair Practice. These amendments would change a number of the Interpretation's provisions. The complete text of the
Regulatory Notice 08-82
FINRA Reminds Firms of Their Sales Practice Obligations with Regard to Cash Alternatives
Notice to Members 98-100
SUGGESTED ROUTING Senior Management Legal & Compliance Systems NASD Regulation, Inc. (NASD RegulationSM) would like to remind members of their obligation to file the appropriate FOCUS reports by their due dates. The following schedule outlines due dates for 1999. In particular, members are reminded that Schedule I of Form X-17A-5 for the 1998 calendar year must be
Notice to Members 98-25
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of January 23, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM). Symbol Name Coupon Maturity CSTR.GA Coinstar Inc 13.000 10/01/06 EPHO.GA Econophone Inc 13.500 07/15/07 RDMS.GA RDM
Notice to Members 97-85
SUGGESTED ROUTING   Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of October 24, 1997, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM). Symbol Name Coupon Maturity FRC.GC First Republic Bancorp Inc. 7.750 09/15/12 IPX.GA Interpool Capital Trust
Notice to Members 97-65
SUGGESTED ROUTING Senior Management Continuing Education Legal & Compliance Registration Executive Summary This Notice is to remind firms that registered persons whose registrations become inactive as defined in Rule 1120 of the National Association of Securities Dealers, Inc. (NASD®) Membership and Registration Rules (Continuing Education Requirements), and who
Notice to Members 01-57
INFORMATIONAL NAC Nominations Nomination Deadline: September 14, 2001 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management National Adjudicatory Council Executive Summary The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill two upcoming vacancies on the National Adjudicatory Council (NAC). The
Notice to Members 98-104
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of October 23, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity ACFL.GA ACC Consumer Finl Corp. 10.250 12/01/03 ANCP.GB Anacomp Inc 10.875 04/01/04 CSUD.GA
Notice to Members 99-50
SUGGESTED ROUTING Suggested Routing Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations