Rules and procedures applicable to members seeking to hire or retain a person who becomes "subject to disqualification," and for members that themselves become subject to disqualification
Thank you for that kind introduction. It's a pleasure to be here with you this morning. Two weeks ago, I had the opportunity to speak at the Museum of Financial History.
ACTION REQUIRED
Broker-Dealer and Investment Adviser Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representative
Registration
Senior Management
IARDSM
Maintenance Fees
Renewals
Registration
Web CRD®
Executive Summary
The 2007 NASD Registration Renewal
INFORMATIONAL
Decimalization
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KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
The Securities and Exchange Commission (
Executive Summary
NASD is concerned about the number of increasingly complex products that are being introduced to the market in response to the demand for higher returns or yield. Some of these products have unique features that may not be well understood by investors or registered persons. Others raise concerns about suitability and potential conflicts of interest. While NASD has and will
GUIDANCE
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations Managers
Senior Management
Section 1 of Schedule A to NASD By-Laws
Trading Activity Fee
Executive Summary
On October 1, 2004, the Securities and Exchange Commission (SEC or Commission) approved an NASD rule filing amending the
ACTION REQUIRED
SOES Order Sizes
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Systems
Trading
SOES Maximum Order Sizes
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
Effective October 1, 1999,
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Publication Date: June 17, 2025Interpretations are marked in blue background beneath the rule text to which they relate. 17a-5 Reports to be made by certain brokers and dealers.This section applies to the following types of entities: Except as provided in this introductory text, a broker or dealer, including an OTC derivatives dealer as that term is defined in § 240.3b-12
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Executive Summary
Federal Reserve Board Regulation T governs the extension of credit to customers by broker/dealers. Among the provisions of Regulation T are requirements governing the initial margin
Effective Date: June 12, 1998
SUGGESTED ROUTING
Senior Management
Institutional
Internal Audit
Legal & Compliance
Options
Systems
Trading
Executive Summary
On June 12, 1998, the Securities and Exchange Commission (SEC) approved amendments to National Association of
