Comment Period Expires: September 29, 1997
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Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests member comment on proposed amendments that would revise NASD® Conduct Rule 2830, governing the sale and
SEC Approves Rule Change to Reduce the Clock Synchronization Tolerance for Computer Clocks Used To Record Events in NMS Securities and OTC Equity Securities
SEC Approval and Effective Dates for New Consolidated FINRA Rules
FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities and Private Securities Transactions
Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market
<p>Letter addresses circumstances under which persons must report events involving a fixed annuity insurance product.</p>
SR-FINRA-2008-032 - Proposed Rule Change to Adopt FINRA Rules 2350 Through 2359 (Regarding Trading in Index Warrants, Currency Index
Warrants and Currency Warrants), FINRA Rule 2360 (Options) and FINRA Rule 2370 (Security Futures) in the
Consolidated FINRA Rulebook
REQUEST FOR COMMENT
Best Execution
Comment Period Expires on: August 9, 2002
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Legal & Compliance
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Registered Representatives
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Trading
Best Execution
Executive Summary
NASD requests comment from members, investors, and other interested parties on proposed amendments to NASD Rule 2320(a) (
ACTION REQUIRED
Mutual Fund Transactions
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Mutual Fund Sales
Operations
Senior Management
Mutual Fund Transactions
Executive Summary
Investment Company Act Rule 22c-1(a) generally requires that redeemable securities of investment companies be sold and redeemed at a price
Changes to Qualification Examination Fees and New Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
