ROUTE TO
Senior ManagementLegal & ComplianceOperationsRegistrationOther
EXECUTIVE SUMMARY
In response to member inquiries, the NASD is publishing guidelines that apply to the employment of unregistered persons to contact prospective customers. Unregistered persons may extend invitations to firm-sponsored events and inquire whether the prospective customer wishes to discuss
TO: All NASD MembersAll Level 2 and Level 3 SubscribersOther Interested Persons
EXECUTIVE SUMMARY
On May 15, 1987, the Midwest Stock Exchange (MSE) will begin trading 25 NASDAQ National Market System (NASDAQ/NMS) securities under the SEC-approved National Association of Securities Dealers/Midwest Stock Exchange joint unlisted trading privileges (UTP) program. This notice explains the operation
The NASD would like to thank the Subcommittee for this opportunity to testify on micro-cap fraud in the U.S. markets, the nature of the problem and our efforts to address it.
INFORMATIONAL
Mediation Filing Fees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registration
Senior Management
Central Registration Depository
Mediation Fees
Executive Summary
Effective February 14, 2003, NASD will begin to deduct unpaid mediation filing fees owed by member firms from members' Central Registration Depository (CRD) accounts. NASD will
SUGGESTED ROUTING
Senior ManagementGovernment SecuritiesLegal & Compliance
Executive Summary
On January 27, 1993, the Securities and Exchange Commission (SEC) approved the NASD's Collateralized Mortgage Obligations Advertising Guidelines (Guidelines). The Guidelines provide a framework for members to assess the accuracy and appropriateness of Collateralized Mortgage
With Electronic Fingerprint Processing, FBI results (dispositions) are automatically uploaded into Web CRD®. The most common fingerprint statuses are described below.A status of CLER
Volatility—market swings—can sometimes bring an uncomfortable surprise to investors: a margin call. When you buy stock on margin, your brokerage firm lends you cash, using assets in your account as collateral, to purchase securities. To trade on margin, you must have a margin account with your brokerage firm.
February 1, 2001Many NASD members have inquired about OATS Written Supervisory Procedures and their responsibilities when using a Reporting Agent, such as a clearing firm or a service bureau, to transmit their OATS data to NASD Regulation.In the December 4, 2000 edition of The OATS Report, an article entitled OATS Written Supervisory Procedures provided guidance on what should be included by
A free market system is exactly what we need. When I say free market I mean the ability of the retail investor to make their own decisions based on their own personal risk/reward assessment. Retail investors are legal adults who are rational and responsible for their own actions. Retail investors are quite capable of using their own judgement to manage their money. Every responsible adult is
Welcome, it’s great to see all of you here this morning. We have a great program for you today.
