Displaying 7961 - 7970 of 8301 Results
5310. Best Execution and Interpositioning
(a)(1) In any transaction for or with a customer or a customer of another broker-dealer, a member and persons associated with a member shall use reasonable diligence to ascertain the best market for the subject security and buy or sell in such market so that the resultant price to the customer is as favorable as possible under prevailing market conditions. Among the factors that will be
Notice to Members 03-71
INFORMATIONAL Non-Conventional Investments SUGGESTED ROUTING KEY TOPICS Legal/Compliance Retail Senior Management Internal Audit Advertising and Sales Literature Due Diligence Non-Conventional Investments Suitability Executive Summary In the aftermath of the recent downturn in the equity markets, NASD reviewed the
Notice to Members 03-47
IMMEDIATE ACTION REQUIRED SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Accounting Operations Retail Mutual Funds Mutual Fund Breakpoints Customer Refunds Net Capital Compliance Background In late 2002, as a result of several routine examinations, NASD discovered that some members had
Notice to Members 03-12
INFORMATIONAL Corporate Debt Securities SUGGESTED ROUTING KEY TOPICS Corporate FinanceLegal and ComplianceOperationsSenior ManagementTechnologyTrading and Market MakingTraining Debt SecuritiesDisseminationOperationsRule 6200 SeriesTransaction Reporting Executive Summary On January 31, 2002, the Securities and Exchange Commission (SEC or Commission) approved
Notice to Members 02-69
INFORMATIONAL Certificates of Deposit Effective Date: October 8, 2002 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Trading Operations Senior Management Certificates of Deposit Executive Summary NASD is issuing this Notice to supersede NASD Notice to Members 02-28 (Notice or Notice 02-28) and replace the guidance offered in Notice to
Regulatory Notice 12-38
SEC Approves Amendments to FINRA’s Short-Interest Reporting Rule
Notice to Members 99-58
SEC Grants Exemption From Rule 15c2-11 For Securities Being Removed From The OTCBB Pursuant To The NASD Eligibility Rule Suggested Routing   Senior Management   Advertising   Continuing Education   Corporate Finance   Executive Representatives   Government Securities   Institutional
Regulation M Notifications User Guide
On this Page Creating a New Deal Deal Information Restricted Period Notification Trading Notification IPOs ATMs All other transaction types Notice of Intent Deal Status Notification Submitting Notifications Subsequent Notifications for an Existing Deal Unable to Locate a Deal? ^ Back to top Creating a New Deal The first step in submitting notifications for an
Notice to Members 96-01
Last Voting Date: February 16, 1996 Executive Summary The NASD invites members to vote on proposed amendments to the NASD By-Laws that will require members to file electronically Forms U-4, U-5, and BD and amendments thereto. These amendments also establish time periods for when such filings must be made. Ballots must be postmarked no later than February 16, 1996. Text of the amendment
Election Notice - 8/29/18
Summary The purpose of this Notice is to inform FINRA small firm members of the upcoming Small Firm Advisory Committee (SFAC) election. Two seats on the SFAC are up for election, representing the North and West Regions. The SFAC provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on FINRA’s small firms. The SFAC meets five times a