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Notice To Members 95-76
SUGGESTED ROUTING Senior Management Legal & Compliance Executive Summary On August 10, 1995, the Securities and Exchange Commission (SEC) approved amendments to the NASD's rules to make a failure to honor a written and executed settlement agreement of a dispute arbitrated by any self-regulatory organization or mediated by the NASD® a violation of the Rules of Fair Practice.
Notice To Members 95-45
SUGGESTED ROUTING Senior Management Institutional Legal & Compliance Operations Trading Executive Summary On May 5, 1995, the Securities and Exchange Commission (SEC) approved amendments to the Interpretation of the Board of Governors—Forwarding of Proxy and Other Materials under Article III, Section 1 of the NASD® Rules of Fair Practice1 (Interpretation). The
Notice To Members 94-9
SUGGESTED ROUTING Senior ManagementLegal & ComplianceOperationsSystemsTrading Executive Summary On January 6, 1994, the Securities and Exchange Commission (SEC) approved an amendment adding a new Section 46 to the NASD Rules of Fair Practice that requires members holding open orders to adjust the price and the size, if necessary, of the order by the amount of any dividend, payment
Notice To Members 93-61
Last Voting Date: October 29, 1993 SUGGESTED ROUTING Senior ManagementLegal & ComplianceOperationsTrading Executive Summary The NASD invites members to vote on a proposed new section to the Rules of Fair Practice that would require a member holding an open order to adjust the order by the amount of any dividend, payment, or distribution on the day that the security is quoted
Notice To Members 93-33
SUGGESTED ROUTING Senior ManagementLegal & ComplianceTrading Executive Summary The cornerstone of the NASD's self-regulatory process is the nationwide committee system of securities industry representatives that conducts peer reviews, takes disciplinary action where appropriate, and imposes remedial sanctions when federal securities laws or NASD® rules and regulation
Notice To Members 93-5
SUGGESTED ROUTING Senior ManagementCorporate FinanceGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining The NASD® published the following Notices to Members during 1992. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of
Notice To Members 92-36
SUGGESTED ROUTING:* Senior ManagementLegal & ComplianceMunicipal*These are suggested departments only. Others may be appropriate for your firm. MAIL VOTE EXECUTIVE SUMMARY The NASD invites members to vote on proposed amendments to Article III, Section 35 of the NASD's Rules of Fair Practice and Section 8 of the NASD's Government Securities Rules to require members to
Notice To Members 92-5
SUGGESTED ROUTING:* Corporate FinanceGovernment SecuritiesInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining*These are suggested departments only. Others may be appropriate for your firm. The NASD published the following Notices to Members during 1991. Duplicate copies are available at $25 per monthly or special
Interpretive Letter to Wallace W. Kunzman, Jr., Kunzman & Bollinger, Inc.
Direct Participation Programs Representatives are eligible to sell shares of a non-listed business development company that qualifies as a regulated investment company under the Internal Revenue Code at the time of sale.
Notice To Members 89-23
SUGGESTED ROUTING* Senior Management Legal & Compliance Operations Registration Training *These are suggested departments only. Others may be appropriate for your firm. IMPORTANT MAIL VOTE EXECUTIVE SUMMARY The NASD invites members to vote on proposed amendments to