NASD has filed with the SEC a proposed rule change to amend NASD’s Plan of Allocation and Delegation of Functions by NASD to Subsidiaries ("Delegation Plan") to remove The Nasdaq Stock Market, Inc.’s ("NASDAQ") representation of NASD in the NASDAQ/Unlisted Trading Privileges Plan ("UTP Plan").
FINRA’s Member Regulation department is conducting a review with respect to products linked to the CBOE’s Volatility Index (VIX). The review will focus on the supervisory processes followed by firms to identify and mitigate sales practice risks associated with recommendations to non-institutional purchasers of VIX-linked products.
Proposed Rule Change Relating to the Operation of NASD's Alternative Display Facility as a Temporary Pilot
GUIDANCE
Options Position and Exercise Limits
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Institutional
Legal & Compliance
Options
Senior management
Trading
Training
Exercise Limits
Hedge Exemption
Options
Position Limits
Rule 2860
Executive Summary
On March 30, 2005, NASD filed for immediate effectiveness with
the Securities and Exchange Commission (SEC) amendments to
The staff granted an exemption from NASD Rule 2790 in connection with new issue offering of a registered securities exchange for certain allocations as part of its issuer-directed share program.
December 3, 2004
Dana G. Fleischman, Esq.
Cleary, Gottlieb, Steen & Hamilton
One Liberty Plaza
New York, NY 10006-1470
Re: Request for Exemption from Rule 2790
Dear Ms. Fleischman
This Notice was withdrawn on March 27, 2001.
INFORMATIONAL
Continuing Education
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Continuing Education
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Registration Department
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CE Inactive Individuals
E-Mail Notifications
Regulatory Element Requirement Windows
Executive Summary
NASD Regulation, Inc. announces a new feature in the Firm Notification section of Web CRDSM. Firms can now request
This request for exemptive relief is granted based on the contributions made being small in amount, in support of personal relationships, the Firm’s representation that the contributor will be restricted in his municipal securities activities and municipal securities compensation, the individual will be subject to a period of heightened supervision, and the return or reasonable attempt at the return of the contributions.
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., is filing with the SEC a proposed rule change to amend NASD Rules 10335 and 10205 of the NASD's Code of Arbitration Procedure to simplify and expedite the procedures for seeking immediate injunctive relief in intra-industry disputes and to fairly and effectively integrate court-ordered initial injunctive relief with the
REQUEST FOR COMMENT
NASD Seeks Comment on Enhanced Access to NASD BrokerCheck (Formerly Known as NASD's Public Disclosure Program)
Comment Period Expires: January 9, 2004
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Executive Representatives
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Central Registration Depository
