FINRA Provides Guidance on Estimated Annual Income and Estimated Yield
INFORMATIONAL
Hard To Borrow List
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Trading & Market Making
Affirmative Determination
NASD Rule 3370
Short Sales
Executive Summary
On March 23, 2000, the Securities and Exchange Commission (SEC) approved amendments to National Association of
INFORMATIONAL
Independent Research Reports
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
Advertising And Sales Literature
NASD Rule 2210
Research Reports
Executive Summary
On January 13, 2000, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers
SEC Approves Amendments to Arbitration Codes Relating to Subpoenas and Orders to Direct the Appearance of Witnesses and Production of Documents Without Subpoenas
In December of 2002, the Securities and Exchange Commission (SEC), New York Attorney General, the North American Securities Administrators Association (NASAA), the New York Stock Exchange (NYSE), and NASD reached an agreement in principle with ten of the nation's largest investment banks to resolve issues of conflicts of interest involving research analysis and initial public offerings (IPOs).
Proposed New Rules Governing Communications About Variable Insurance Products; Comment Period Expired: September 30, 2008
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Syndicate
Executive Summary
On June 1, 1995, the Securities and Exchange Commission (SEC) approved amendments to Part II, Section 1(c) of Schedule D to the NASD By-Laws and Section 11 of the NASD's Uniform Practice Code.1 The amendments require that for a domestic security2 to be
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceMutual Fund
Executive Summary
On April 30, 1993, the Securities and Exchange Commission (SEC) approved an amendment to Article III, Section 35 of the Rules of Fair Practice and the Investment Company Securities section of the NASD Manual. The amendment adds language relating to investment companies to Article III, Section
SUGGESTED ROUTING
Legal & ComplianceOperationsTrading
Executive Summary
On December 30, 1992, the Securities and Exchange Commission (SEC) granted the NASD's request for interim designation of the OTC Bulletin Board® service (OTCBB) as a "Qualifying Electronic Quotation System" (QEQ System) for purposes of certain SEC Penny Stock Disclosure Rules that became
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Markups, Commissions and Fees
