Practical Guide to NASD Regulation

Practical Guide to NASD Regulation (Margaret A. Sheehan, Rockell C. Metcalf, and Sara F. Burstein) This guide reorganizes the NASD rules specifically as they relate to seven key functional area of your firm: * Relationships with Customers * Relationships with Associated Persons * Relationships with Regulators * Relationships with other Members and Non-Member Entities * Recordkeeping and Regulatory Reporting * Rules Regarding Specific Products * Rules Regarding Securities Underwritings The soft-cover volume includes cross-references to information memos and other related documents to provide a handy desk reference for securities attorneys, compliance personnel, branch managers, and OSJs. Use as a training resource as well as a quick reference.