NASD issues this annual publication to assist member firms in their compliance efforts.
Executive Order Targeting Terrorists; Exams Now Offered In Singapore
FINRA Announces Changes in Composition of National Adjudicatory Council and Nominees for Vacant Small Firm and Large Firm Industry Seats
SEC Approves Amendments to Establish Two Optional TRACE Data Delivery Services and Related Fees
ACTION REQUIRED
PORTAL-Designated Equity Securities Directory
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Operations
Trading & Market Making
ACT
PORTAL
Executive Summary
Nasdaq® is publishing a list of PORTAL®-designated equity securities for the reporting requirements of PORTAL equity transactions that will be effective on June 16, 2001.
On March
SEC Approves Amendments to the Arbitration Codes to Expand Arbitrators’ Authority to Make Referrals During an Arbitration Proceeding
New Electronic Filing System for Public Offering Filings
INFORMATIONAL
Transaction Fees
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KEY TOPICS
Finance
Legal & Compliance
Operations
Senior Management
Section 31 of the Exchange Act
Section 3 of Schedule A to the NASD
By-Laws
Transaction Fees
Executive Summary
Pursuant to Section 31 of the Securities Exchange Act of 1934 (Exchange Act),
SuperMontage
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
SuperMontage
Executive Summary
On May 28, 2002, the Securities and Exchange Commission (SEC) approved amendments made by The Nasdaq Stock Market, Inc
