NASDR has filed with the SEC a proposed rule change to amend the Code of Arbitration Procedure to implement a voluntary single arbitrator pilot program.
NASDR has filed with the SEC a proposed rule change to Schedule A to the NASD By-Laws and Conduct Rule 2710 of the National Association of Securities Dealers, Inc. to simplify the fee structure for public offerings filed under Rules 2710, 2720, and 2810.
INFORMATIONAL
NAC Nominees
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to announce the nominees for the National Adjudicatory Council (NAC) from the Midwest and South Regions. The nominees, nominated for a
Proposed Rule Change to Adopt New FINRA Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System)
(a) Except as provided in paragraph (b), no member that is promoting a day-trading strategy, directly or indirectly, shall open an account for or on behalf of a non-institutional customer unless, prior to opening the account, the member has furnished to each customer, individually, in paper or electronic form, the disclosure statement specified in this paragraph (a). In addition, any member
When it comes to financial products that offer diversification, investors have no shortage of choices. Unit investment trusts are just one of those options.
GUIDANCE
Settlement Agreements
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Affidavits
Arbitration
Central Registration Depository System (CRD® or CRD system)
Confidentiality Provisions
Dispute Resolution
Rule 2110
Settlement Agreements
Executive Summary
EssentialsThe basic purpose of life insurance is to provide financial support to people who depend on you financially—such as your spouse, partner, children or other loved ones—in the event of your death.Many types of life insurance are available. Key features to consider include the length of coverage, whether you pay fixed or variable premiums, how benefits are determined and costs of coverage.
Frequently asked questions about private placements.
INFORMATIONAL
Option Contracts
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Registered Representatives
Senior Management
Options
Options Self-Regulatory Council
Executive Summary
NASD Regulation is providing this Notice on behalf of the Options Self-Regulatory Council. This Notice advises broker/dealers to review or develop
