SEC Approves Amendments Relating to Web-based Delivery of the Regulatory Element of Continuing Education
Comment Period Expires October 3, 1994
SUGGESTED ROUTING
Senior Management Corporate Finance Institutional Legal & Compliance Mutual Fund
Executive Summary
The NASD requests member comment on proposed amendments to Article III, Sections 26 and 29 of the Rules of Fair Practice that would revise existing rules applicable to the sale of investment company securities and establish new
INFORMATIONAL
Arbitration
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Training
Arbitration
Discovery Guide
The Suggested Routing function is meant to aid the reader of this document. Each NASD
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2015
SEC Approves Amendments to the Arbitration Codes to Expand Arbitrators’ Authority to Make Referrals During an Arbitration Proceeding
SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications; Effective Date: March 4, 2009
INFORMATIONAL
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Legal and Compliance
Operations Managers
Fees
NASD By-Laws
Executive Summary
On May 30, 2003, the Securities and Exchange Commission ("SEC" or "Commission") approved revisions to NASD By-Laws, eliminating the current
The Neutral Corner Topical Index; Volume 5 - 2008; Curveballs: Unexpected Situations that Arise During a Hearing; Dispute Resolution News; Discovery Arbitrator Pilot; Did You Know; Question and Answer; Mediation and Business Strategies Update; Regional Updates
SEC Approves New FINRA Rule Relating to the Processing of and Fees for Company-Related Actions for Non-Exchange-Listed Securities
Amendments to Standardized Options Exercise Procedures and Extension of Contrary Exercise Advice Cut-Off Time
