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United States Securities and Exchange Commission / Financial Industry Regulatory Authority / Financial regulation / Business / Financial economics / Selling away / United States securities law / 73rd United States Congress / Securities Exchange Act


NASD Notice to Members[removed]NASD Provides Guidance On Supervisory
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Document Date: 2010-05-12 16:15:24

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File Size: 103,87 KB

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Company

Royal Alliance Associates Inc. / Securities Dealers Inc. / NYLIFE Securities Inc. / NASD Regulation Inc. / /

Event

Product Issues / Person Communication and Meetings / /

IndustryTerm

investment advisory services / institutional vs. retail / electronic communications / computer software program / investment company products / real estate sales / communications tools / supervisory systems / state insurance laws / /

Organization

Royal Alliance / U.S. Securities and Exchange Commission / National Association of Securities Dealers / Supervisory and Inspection Obligations / Supervisory / NASD / /

Person

Christopher J. Benz / Charles L. Campbell / Regulation / Stephanie M. Dumont / /

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Position

Assistant General Counsel / supervisor / individual representative / particular representative / Vice President / Member / appropriately qualified supervisor / representative / registered representative / Responsibilities Suggested Routing Senior Management Advertising Continuing Education Corporate Finance Executive / broker /dealer / /

Product

seven - year period / /

Technology

video conferencing / /

URL

www.nasdr.com / /

SocialTag