Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2008
Application of registration and supervisory requirements to certain activities conducted by a member firm in the U.S. relating to sales outside the U.S. of foreign mutual funds.
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsSystemsTrading
Executive Summary
On January 6, 1994, the Securities and Exchange Commission (SEC) approved an amendment adding a new Section 46 to the NASD Rules of Fair Practice that requires members holding open orders to adjust the price and the size, if necessary, of the order by the amount of any dividend, payment
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceTrading
Executive Summary
The cornerstone of the NASD's self-regulatory process is the nationwide committee system of securities industry representatives that conducts peer reviews, takes disciplinary action where appropriate, and imposes remedial sanctions when federal securities laws or NASD® rules and regulation
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On December 13, 1991, the Securities and Exchange Commission (SEC) approved amendments to Schedule C of the NASD By-Laws relating to the premembership interview process for applicants for NASD membership. The
SUGGESTED ROUTING*
Senior ManagementInstitutionalInternet AuditLegal & ComplianceOperationsTradingTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
NASD members are advised that the Securities and Exchange Commission (SEC) has approved an amendment to the NASD Board of Governors' "Free-Riding and Withholding"
SEC Approves Consolidated FINRA Rules Governing Books and Records
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
