SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Options
Executive Summary
Effective April 1, 1998, the Board of Governors (Board) of the Federal Reserve System (FED) adopted several amendments to Regulation (Reg) T, as well as Regs U and X. In
This Special Notice to Members provides guidance to members in filling out the Interim Forms U-4 and U-5, which become effective on March 16, 1998, and in understanding what information NASD Regulation, Inc., will release as part of its Public Disclosure Program. This guidance will be updated and supplemented as necessary and can be found at the NASD RegulationSM Web Site at www.nasdr.com.
The
INFORMATIONAL
District Committees and District Nominating Committees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Article VIII NASD Regulation By-Laws
District Committees
District Nominating Committees
Executive Summary
On March 21, 2003, NASD filed with the Securities and
To prepare for a life of moves, you need to know what to expect both before and after a move.
This data provides trading volume in U.S. Treasury securities reported to TRACE for the prior month.
View Data
About the Data
Data Sources
TRACE (Trade Reporting and Compliance Engine), the FINRA-developed vehicle that facilitates the mandatory reporting of over-the-counter transactions in eligible fixed income securities.
Data
Sec. 4.13 (a) The Board may, by resolution or resolutions adopted by a majority of the whole Board, appoint one or more committees. Except as herein provided, vacancies in membership of any committee shall be filled by the vote of a majority of the whole Board. The Board may designate one or more Directors as alternate members of any committee, who may replace any absent or disqualified
Regulatory Notice
Suggested Routing
Senior Management
Advertising
Corporate Finance
Government Securities
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Systems
Trading
Training
Executive Summary
On January 29, 1996, the Securities
and Exchange Commission (SEC)
approved amendments to Sections
1(a)(v)
GUIDANCE
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations Managers
Senior Management
Options Exemption
Trading Activity Fee
Discussion In 2003, the Securities and Exchange Commission (SEC) approved amendments to the NASD By-Laws establishing a Trading Activity Fee (TAF).1 Among the covered securities excluded from the TAF are
<p>NASD Rule 2110 - Standards of Commercial Honor and Principles of Trade</p>Member whose firm will cease to exist upon merger with an acquiring member that does not generally offer retail brokerage services may use negative response letters to accomplish the bulk transfer of its retail accounts to a broker-dealer affiliate of the acquiring member.
GUIDANCE
Safeguarding Confidential Customer Information
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
New Technology
Privacy
Protection of Customer Information
Executive Summary
NASD members are required to maintain policies and procedures that address
