Reporting Reversals of OTC Trades in Equity Securities
New Rate for Fees Paid Under Section 31 of the Exchange Act
The following glossary of terms is intended only for use by BrokerCheck users to assist them in better understanding a BrokerCheck report. Please note that these terms may have slightly different or more specific meanings in other contexts.
August 2010 Supplement to the Security Futures Risk Disclosure Statement
Asset-Backed Securities Transaction Reporting Pilot Program Expires November 18, 2011
GUIDANCE
Equity-Indexed Annuities
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Executive Representatives
Insurance
Variable Contracts
Equity-Indexed Annuities
Rule 3030 (Outside Business Activities
of an Associated Person)
Rule 3040 (Private
SEC Approves Amendments to Require Firms to Add a No-Remuneration Indicator in TRACE Trade Report
INFORMATIONALSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsRegistrationSenior ManagementDistrict ElectionsExecutive SummaryArticle VIII, Section 8.32 of the NASD Regulation, Inc. By-Laws (the By-Laws) permits the Secretary of NASD Regulation, in extraordinary circumstances and with the approval of the NASD Executive Committee or the NASD Board of Governors, to adopt additional
Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
GUIDANCEShort SalesSUGGESTED ROUTINGKEY TOPICSInternal AuditLegal & ComplianceOperationsSenior ManagementTradingAffirmative DeterminationRule 3370(b)(2)(B)Rule 3370(b)(5)(B)Short SalesExecutive SummaryThere has been discussion in the financial press about the listing of securities on foreign markets without a company's knowledge or authorization. Some reports have suggested that the
