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Investment Analysis Tools
Comment Period Expires: September 13, 2002
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Rule 2210
Executive Summary
NASD Rule 2210(d)(2)(N) prohibits NASD member firms from making predictions or projections of investment results to the
Guidance on Effective Supervision and Control Practices for Firms Engaging in Algorithmic Trading Strategies
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Executive Summary
On May 18, 1993, the Securities and Exchange Commission (SEC) issued a no-action letter that permits broker/dealers to use optical storage technology(OST) to comply with the records retention requirements of SEC Rules 17a-3 and 17a-4. The letter, which was issued by the SEC
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Best execution is a significant investor protection requirement that essentially obligates a broker-dealer to exercise reasonable care to execute a customer's order in a way to obtain the most advantageous
Continuing Education Planning
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As of April 24, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
PRVC.GA
President Riverboat Casinos Inc
13.000
09/15/01
TCFD.GB
Trump's Castle Funding Inc
FINRA’s new account opening template is customizable so that firms can make the form their own.
Verification of Emailed Instructions to Transmit or Withdraw Assets From Customer Accounts
INFORMATIONAL
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Board Elections
The Annual Meeting of Members of NASD will be held on January 6, 2004, at 11:00 am, at the NASD Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to conduct the election of Governors to the NASD Board. Members
