Displaying 9381 - 9390 of 10878 Results
Improving Examination Results - May 2007
NASD issues this annual publication to assist member firms in their compliance efforts.
Notice To Members 92-8
SUGGESTED ROUTING:* Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. MAIL VOTE EXECUTIVE SUMMARY The NASD invites members to vote on a new Section 46, Article III of the Rules of Fair Practice regarding adoption of a short-sale rule or "bid test
Regulatory Notice 11-39
Guidance on Social Networking Websites and Business Communications
Notice to Members 05-09
GUIDANCE Predispute Arbitration Agreements Effective Date: May 1, 2005 The compliance date of new Rule 3110(f)(1) requirements has been extended to June 1, 2005. See the SEC's release at: http://www.sec.gov/rules/sro/nasd/34-51526.pdf SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Arbitration Books and Records Predispute Arbitration
Notice to Members FYI December 1997
For Your Information
Notice to Members 01-19
INFORMATIONAL The PORTAL Market Effective Date: June 16, 2001 For PORTAL Equity Securities SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Registered Representatives Senior Management Technology Trading & Market Making
SR-NASD-2007-016
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change proposing to amend NASD Rule 4632C (Transaction Reporting) and NASD Rule 4632D (Transaction Reporting) to reflect "as/of" (T+1) trade reporting and the automated reporting of trade cancellations to the NASD/NSX Trade Reporting Facility (the "NASD/NSX TRF
Notice to Members 02-71
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
Notice to Members 04-25
GUIDANCEResearch Analysts and Research ReportsEffective Date: March 30, 2004SUGGESTED ROUTINGKEY TOPICSContinuing EducationExecutive RepresentativesLegal & ComplianceRegistered RepresentativesRegistrationResearchSenior ManagementTrainingRegistrationResearch ReportsExecutive SummaryThe Securities and Exchange Commission (SEC) recently approved amendments to NASD rules to finalize and
What to Expect: Anti-Money Laundering Reviews During Routine Examinations
This webcast focuses on what firms should expect from the Anti-Money Laundering reviews conducted as part of FINRA's routine examinations. We will review how FINRA examiners will check to make sure you have appropriate AML procedures in place, and you will learn what we expect of you and what you should expect from us during the AML part of an exam.