NASD Rules definition

NASD Rules means the Rules of the National Association of Securities Dealers, Inc., as amended from time to time.

NASD Rules means the Conduct Rules and the By-Laws of the National Association of Securities Dealers, Inc.

NASD Rules means the Constitution, By-Laws, and Rules of Fair Practice of the National Association of Securities Dealers, Inc. (the "NASD") and any interpretations thereof.

Examples of NASD Rules in a sentence

• Any distribution arrangement of the Fund, including distribution fees, front-end sales loads and CDSCs, will comply with Section 2830 of the NASD Rules of the Financial Industry Regulatory Authority, Inc.

• Within the period specified by applicable NASD Rules or, if no period is so specified, as soon as practicable after termination of such AAU, your account shall be settled and paid.

• Notwithstanding the foregoing, no “Independent Director” as defined in NASD Rules or in Rule 10A-3 under the Exchange Act, and with respect of whom the Board has determined constitutes an “Independent Director” for purposes of compliance with applicable law or the Company’s listing requirements, shall without the consent of the Audit Committee take any of the foregoing actions or any other action that would reasonably be likely to affect such Director’s status as an “Independent Director” of the Company.

• Without prejudice to the freedom of the Directors to establish any other committees, for so long as the shares of the Company (or depositary receipts therefor) are listed or quoted on the Designated Stock Exchange, the Board shall establish and maintain an Audit Committee as a committee of the Board, the composition and responsibilities of which shall comply with the NASD Rules and the rules and regulations of the SEC.

• AFSG shall be responsible for carrying out its sales and underwriting obligations hereunder in continued compliance with the NASD Rules and federal and state securities and insurance laws and regulations.

More Definitions of NASD Rules

NASD Rules means the Conduct Rules and the By-Laws of the NASD.

NASD Rules means the Conduct Rules and the By-laws of the National Association of Securities Dealers, Inc.

NASD Rules has the meaning set forth in Section 4.3(o).

NASD Rules shall have the meaning assigned thereto in Section 3(d)(xiv) hereof.

NASD Rules means the rules set forth in the NASD Manual.

NASD Rules means the Rules of the NASD, as amended from time to time.

NASD Rules means all applicable laws (including intellectual property, communications, and securi- ties laws), statutes, and regulations, the rules and regulations of the SEC, the rules and regulations of the Corporations including, but not limited to, those requirements established by the Corporations’ rule filings (with such SEC approval as may be required), the Corporations’ decisions and interpretations and any User Guides, or suc- cessors of the components of the NASD Rules, as they may exist at the time. If any payment is due directly to Nasdaq under this Agreement, payment in full is due Nasdaq in immediately available U.S. funds, within 30 days of date of invoice, whether or not use is made of the Information. Interest shall be due from the date of the invoice to the time that the amount(s) that are due have been paid. Subscriber shall assume full and complete responsibility for the payment of any taxes, charges or assessments imposed on Subscriber or Nasdaq (except for U.S. federal, state, or local income taxes, if any, imposed on Nasdaq) by any foreign or domestic national, state, provincial or local gov- ernmental bodies, or subdivisions thereof, and any penalties or interest, relating to the provision of the Information to Subscriber.