Witryna13 kwi 2005 · NASD Requests Comment on Proposal to Require Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers within a 30-Calendar-Day Period (Comment Period Expired May 27, 2005) Published Date: April 13, 2005. Notice Comments. Witryna22 lip 2005 · NASD is issuing this Notice to remind members that, in general, any parties conducting activities or functions that require registration under NASD rules will be considered associated persons of the member, absent the service provider separately being registered as a broker-dealer and such arrangements being contemplated by …
Notice to Members 05-26 FINRA.org
Witryna6 kwi 2005 · In 2003, NASD published Notices to Members (NTMs) addressing the sale of hedge funds and non-conventional instruments to retail customers. 1 More recently, we have proposed new rules tailored specifically to sales of deferred variable annuities, including new sales practice standards, supervisory approval and sales force training … controller and service in spring boot
FINRA Re-Affirms Settled Principle That Transaction-Based Compensation ...
WitrynaFINRA Regulatory Notice 13‐31; NASD Notice to Members 05‐26. Customer‐Specific Suitability What is the customer‐specific obligation? The customer‐specific obligation requires that a member or associated person have a reasonable basis to believe that a recommendation of a security or an investment WitrynaNotice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule Cross-References in FINRA Rules Author: US SEC Keywords: Release No. 34-60008; File No. SR-FINRA-2009-033; Date: 2009-05-29 Created Date: 5/29/2009 4:18:32 PM Witryna21 mar 2006 · See also NASD Notice to Members 05-66 (October 2005). 6 See SR-NASD-2006-037 (March 14, 2006). 7 For purposes of this Joint Interpretive Notice, the term "member" refers to NASD members and NYSE member organizations. 8 See NASD Notice to Members 02-39 (July 2002); NYSE Information Memo 02-26 dated … controller android phone