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Neutral Corner - February 2007
Neutral Corner - February 2007
Interpretive Letter to Michael D. Wolk, Esq., Foley and Lardner (Use of Negative Response Letters)
Negative response letters may be used for a bulk transfer of customer accounts to a broker-dealer that will provide certain trading services that have been discontinued by member, provided the letters contain the disclosures described in Notice to Members 02-57.
Notice to Members 99-97
INFORMATIONAL Ombudsman SUGGESTED ROUTING KEY TOPICS Advertising/Investment Companies Corporate Finance Legal & Compliance Registration Senior Management Trading & Market Making Ombudsman 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
Testimony Before the Committee on Banking, Housing, and Urban Affairs Hearing to Review Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry
Mr. Chairman and Members of the Committee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises Committee on Financial Services
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to testify regarding self-regulation in the securities industry.
Notice to Members 98-39
SUGGESTED ROUTING Senior Management Legal & Compliance Executive Summary The National Association of Securities Dealers, Inc. (NASD®) has revised the NASD Sanction Guidelines (Guidelines), which are used by the various bodies that adjudicate disciplinary matters (Adjudicators) to determine appropriate remedial sanctions. The National Business Conduct Committee (NBCC)
12409. Jurisdiction of Panel and Authority to Interpret the Code
The panel has the authority to interpret and determine the applicability of all provisions under the Code. Such interpretations are final and binding upon the parties. Amended by SR-FINRA-2010-053 eff. Feb. 1, 2011. Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008. Adopted by SR-NASD-2003-158 eff. April 16, 2007.Selected Notices: 07-07, 08-57, 11-05.
12408. Director's Discretionary Authority
The Director may exercise discretionary authority and make any decision that is consistent with the purposes of the Code to facilitate the appointment of arbitrators and the resolution of arbitrations. Amended by SR-FINRA-2010-053 eff. Feb. 1, 2011. Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008. Adopted by SR-NASD-2003-158 eff. April 16, 2007.Selected Notices: 07-07, 08-
Interpretive Letter to Karen A. Steighner, Brokerage Administrators Corporation (includes attached incoming letter)
Registration Requirements for Various Teleservicing Activities
12406. Arbitrator Recusal
Any party may ask an arbitrator to recuse himself or herself from the panel for good cause. Requests for arbitrator recusal are decided by the arbitrator who is the subject of the request. Amended by SR-FINRA-2010-053 eff. Feb. 1, 2011. Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008. Adopted by SR-NASD-2003-158 eff. April 16, 2007.Selected Notices: 07-07, 08-57, 11-05