<p>Application of NASD Rules to Member Firms using Pink Sheets Linkage.</p>
FINRA’s secure online licensing system, the Central Registration Depository (CRD®), enables entitled users, typically individuals from a firm’s registration or compliance department, to register individuals with FINRA, other self-regulatory organizations and state regulators. In addition to registration and licensing information, the CRD system includes qualification, employment and disciplinary
Application of Suitability and Supervision requirements to recommendations of new variable annuity bonus products to existing variable annuity bonus products customers.
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Markups, Commissions and Fees
Intra-firm account transfers must be conducted in a manner consistent with a member's obligation to observe high standards of commercial honor and just and equitable principles of trade.
<p>Imposition of a fee to customers for redemption of mutual funds, where the fee initially is charged to the broker/dealer by clearing firms, is generally not prohibited under NASD rules if the fee is reasonable and customers are given adequate notice.</p>
INFORMATIONAL
OTCBB Trading Halts
Effective Date: June 26, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Trading & Market Making
Training
OTC Bulletin Board
Trading Halts
Executive Summary
On May 22, 2000, the Securities and Exchange Commission (SEC) approved a rule change that allows The Nasdaq Stock Market, Inc. (The Nasdaq Stock
ACTION REQUESTED
Alternative Display Facility
SEC Comment Period Expires: January 21, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Alternative Display Facility
Executive Summary
On December 14, 2001, the Securities and Exchange Commission (SEC or Commission) published for comment a proposed rule
SUGGESTED ROUTING
Senior Management
Corporate Finance
Government Securities
Institutional
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Trading
Training
Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved Rule 1120 of the NASD® Membership and Registration Rules
