Examples of NASD in a sentence
All Committee members are required to meet the NASD and SEC independence and experience requirements.
Here, I see no relevant distinction between Cox’s attempt to avoid the arbitrability of his employment dispute based on whether or not he properly followed the procedures of the AAA and Dean Witter’s challenge to arbitrability in Howsam based on the National Association of Securities Dealers (NASD) procedural rules.
The Funds may in the future offer additional classes of shares and/or another sales charge structure.The Applicants represent that any asset-based service and distribution fees for each class of shares of the Funds will comply with the provisions of the Financial Industry Regulatory Authority (“FINRA”) Rule 2341 (formerly NASD Rule 2830(d), the “FINRA Sales Charge Rule”).2 II.
See, Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in Consolidated FINRA Rulebook, Securities Exchange Act Release No. 78130 (June 22, 2016).4If this Application for an order is granted, the New Class Shares may or may not be offered.
At the end of each fiscal year, he reviews with the Committee the performance of each executive officer and he recommends the level of base and incentive compensation as well as equity grants for the ensuing year of individual executive officers reporting to him, including the executive officers covered by NASD Rule 4350.