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NATIONAL ASSOCIATION OF SECURITIES
Dealers Inc NASD
Plan of Allocation and Delegation of Functions by NASD to Subsidiaries
47 other sections not shown
Adopted aggregate Alternative Display Facility Amended by SR-NASD-97-71 American Depositary Receipts applicable approval associated persons broker or dealer broker/dealer business days By-Laws cancelled compensation compliance designated determined Directors displayed employee execution exercise price filed futures contracts Index Fund index warrants investment company issued issuer ITS/CAES Market Maker limit order limited partnership listed Market Participant means meeting member or person NASD Board NASD Dispute Resolution NASD member NASD Regulation NASD Rule Nasdaq index options Nasdaq Market Center Nasdaq Stock Market National Adjudicatory Council national securities exchange Notices to Members number of shares option contract Options Clearing Corporation Order Entry Firm p.m. Eastern paragraph percent person associated principal prior procedures public offering purchase put option qualified quotation Quote/Order SEC Rule Section security futures Selected Notices sell specified subparagraph term tion trade report underwriter vote