Find Advertising Regulation guidance on what and when to file that is related to new member firms and existing member firms.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD IM-1000-2 to (1) clarify that the scope of the relief provided in the IM extends to any registered person of a firm who volunteers for or is called into active military duty, not just registered representatives; (2) codify the staff's existing
SEC Approves Amendments to FINRA Rule 2360 (Options) and FINRA Rule 4210 (Margin Requirements) in Connection With Over-the-Counter Options Cleared by the OCC
SEC Approves New Requirements for Alternative Trading Systems
Retirement income management is all about making sure your retirement savings provide enough income for your needs, and that you don’t outlive your assets. This starts with setting up and managing a portfolio that's right for you.
GUIDANCE
Fingerprinting Procedures
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Registration
Senior Management
Best Practices
Fingerprinting
Executive Summary
NASD is issuing this Notice to Members to remind members to review and, as necessary, update their fingerprinting procedures to help ensure that fingerprints
FINRA Rule 5131 (New Issue Allocations and Distributions) addresses potential misconduct in the allocation and distribution of new issues.
Good morning. Thank you for that introduction Louise [Guarneri], and thank you for inviting me to speak this morning.
INFORMATIONAL
2007 Trade Date—Settlement Date Schedule
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal and Compliance
Municipal/Government Securities
Operations
Trading and Market Making
Holiday Trade Date—Settlement
Date Schedule
Martin Luther King, Jr., Day:
The NASDAQ Stock Market® and the securities exchanges will be closed on
Reporting of Customer Complaints Relating to Auction Rate Securities; Effective Date: April 1, 2008
