New Implementation Date for and Additional Guidance on the Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
Firm culture has a profound influence on how a broker-dealer conducts its business, including how it manages conflicts of interest.
Reminder to NASD Members – Transactions with NASD and American Stock Exchange Employees; Filing of Annual Attestation Required by Rule 2711 – Research Analysts and Research Reports
<p>Short sales by options professionals established during the course of bona fide market making activities are exempt from the affirmative determination requirements, regardless of whether the short sales constitute a permitted offset under Regulation T.<br />
</p>
New Criteria and Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
SEC Approves Amendments to the Trading Activity Fee and FINRA Announces Publication of Frequently Asked Questions
REQUEST FOR COMMENT
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Research
Senior Management
Technology
Trading and Market Making
Training
Debt Securities
Operations
Rule 6200 Series
TRACE Rules
Transaction Reporting
Executive Summary
NASD has received multiple requests to broaden the provision of
previously non-public historic
REQUEST FOR COMMENT
Trading Activity Fee
Comment Period Expires October 31, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations Managers
Senior Management
NASD By-Laws
Trading Activity Fee
Executive Summary
NASD is issuing this Notice to Members to solicit comments from
members on possible changes to the Trading Activity Fee (TAF). In
2003, the Securities and Exchange
