by National Association of Securities Dealers; Inc. (NASD)
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| List Price: | $79.95 |
| Amazon Price: | $79.95 & eligible for FREE Super Saver Shipping on orders over $25. |
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Product Description
A Portable Reference to the Rules of the National Association of Securities Dealers, Inc. The NASD® Manual in paperback has long been one of the most practical ways to put the rules at the fingertips of securities law and compliance professionals. As the leading provider of comprehensive exchange guides and various compliance reference materials, Wolters Kluwer Financial Services has always been The Professional s First Choice in an ever-changing regulatory environment. Published annually, the NASD Manual is a valuable resource that provides a quick snapshot in helping firms to manage and meet regulatory responsibilities. This new edition reflects the latest National Association of Securities Dealers, Inc., business conduct guidelines, including issuances by the NASD Board of Governors, the Rules of Fair Practice, Rules of Practice and Procedure for the Intermarket Trading System/Computer Assisted Execution System Automated Interface (ITS/CAES), the Uniform Practice Code, and more. Pertinent SEC rules and regulations are also covered, along with requirements. Benefits and Features * Have a portable copy of the NASD rules for easy and quick access * Stay in compliance with NASD requirements * Get authoritative information on the NASD from a trusted source Other Related Wolters Kluwer Financial Services Soft-Cover Publications: * The Practical Guide to NASD Regulation * NASDAQ® Manual * Rules of the NYSE Arca® Specifications: Soft-cover format, 6 x 9 ; approximately 1,304 pages; Print Date: As of March 2006 Table of Content: * Section I: Corporate Organization * Section II: Rules of the Association i. General Provisions Membership and Registration Rules ii. Membership, Registration, and Qualification Requirements * Section III: Conduct Rules Business Conduct * Section IV: Marketplace Rules i. The NASDAQ Stock Market ii. Other NASDAQ and NASD Markets iii. NASD Systems and Programs iv. Charges for Services and Equip
Average Customer Review:
1 of 1 people found the following review helpful:
A MUST HAVE!, 2007-06-06
All the rules and regs of the NASD. If you trade at all on the NASD this is a must have. Every broker, every advisor, every investor, every SA should have one on their desk.
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