GUIDANCE
Web Site References to NASD
Membership by Member Firms
SUGGESTED ROUTING
KEY TOPICS
Advertising
Legal & Compliance
Operations
Senior management
Hyperlink
NASD Interpretive Material 2210-4
Rule 2210
Web Site
Executive Summary
On November 9, 2006, the Securities and Exchange Commission
(SEC) approved an amendment to Interpretive Material 2210-4
(IM-2210-4
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Monday, February 21, 1983, in observance of Washington's Birthday. "Regular-Way" transactions made on the business days preceding that day will be settled according to the following schedule.
Trade Date-Settlement Date Schedule For
As a RIA for over 20 yrs I have seen my fair share of shorting and have done it with some equities in special cases for aggressive clients. I am a small independent RIA that uses a combination of ETFs and individual stocks in the management of my clients funds. I can tell you flat out that the system of clearing and reporting short sales is completely broken. This is especially true with small,
Sales Practice Obligations for Commodity Futures-Linked Securities
SUGGESTED ROUTING*
Senior ManagementLegal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has approved amendments to the NASD Code of Procedure that make two changes in the Code to the disciplinary process that reduce the burden that this process imposes on the National
SUGGESTED ROUTING
Senior Management
Corporate Finance
Government Securities
Institutional
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Trading
Training
Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved a new Part XII to Schedule C of the NASD By-Laws prescribing requirements for the
While Generative AI and large language models present numerous opportunities to create business efficiencies and offer many potential benefits to firms, regulators and investors, they also introduce unique risks. On this episode, we hear from three experts at FINRA who are closely looking at these technologies and following developments in this space.
ACTION REQUIRED
NASD Rule 3070 System Requirements
SUGGESTED ROUTING
KEY TOPICS
Chief Compliance Officer
Legal and Compliance
Operations
Senior Management
NASD Rule 3070 System Requirements
Executive Summary
NASD Rule 3070(c) requires members to report to
GUIDANCE
Discovery-Related Motions
Effective Date: September 26, 2005
SUGGESTED OUTING
KEY TOPICS
Legal & Compliance
Discovery-Related Motions
Dispute Resolution
Executive Summary
The Securities and Exchange Commission (SEC) has approved an amendment to Interpretive Material (IM) 10104 of the NASD Code of Arbitration Procedure (Code)
