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Subject Matter Expert: Chris Harris, , cjh41 psu. Policy Steward: Vice President for Administration.

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Branch Offices and Offices of Supervisory Jurisdiction. This notice reviews the application of certain qualification and registration requirements of Schedule C of the NASD By-Laws for persons who solicit new accounts on behalf of members. It also announces the Securities and Exchange Commission's approval of an amendment to Schedule C, which expands the products that may be sold by Limited Representatives—Investment Company and Variable Contracts Products.

The Qualifications Committee of the NASD Board of Governors recently reviewed some members' use of unregistered personnel to solicit new accounts by telephone. The content of these solicitations may include representations regarding the general products and services of the member, an interview format designed to prequalify potential customers, or a specific description of a security offered by the member. This definition has been consistently interpreted by the NASD to require registration of persons who engage in activities that only constitute a portion of registered representatives' traditional dealings with public customers.

Thus, for example, members are required to register persons who are hired to accept orders from public customers, even if these orders are unsolicited; persons who share in the commissions generated from customer accounts; and persons who solicit accounts on behalf of members, notwithstanding any limitation of such solicitations to prepared scripts discussing generic products and services offered by the member.

Part V of Schedule C provides an exemption from the registration requirement for persons performing clerical or ministerial functions for the member. Historically, this exemption has been applied to salaried clerical and administrative staff whose jobs are oriented to the internal operations of sales offices. The Qualifications Committee has long recognized that, on occasion and in the absence of appropriately registered personnel, these exempted employees may transcribe an order from a customer for submission to registered personnel or provide customers with approved market quotations.

The occasional nature of these activities contrasts with those described above for account solicitors who are assigned the specific function of interacting with public customers on a regular basis, and for persons who are assigned to accept orders from the public on a regular basis. The activities of account solicitors may also come within the definition of "offers to sell" pursuant to various state securities laws and regulations and may, therefore, require agent licensing of persons performing these functions in certain state jurisdictions.

Members are advised to review the activities of unregistered personnel having contact with existing or potential public customers to assure that their functions do not require registration pursuant to NASD rules, qualification pursuant to MSRB rules, or agent licensing pursuant to various state laws and regulations. The amendment, which is reprinted at the end of this notice, permits persons registered as Limited Principals and Limited Representatives—Investment Company and Variable Contracts Products to sell contracts that are issued by the general accounts of life insurance companies and registered under the Securities Act of Act.

The amendment became effective upon approval. Contracts issued by the general accounts of life insurance companies, which transfer part of the investment risk to the purchaser, may be required to be registered under the Act. Because such registered contracts do not fit the definition of variable contracts, which are securities issued by the separate accounts of life insurance companies, persons selling them have been required to register as General Securities Principals or General Securities Representatives.

The depth of knowledge required to market these contracts, their product features and the marketing methods used in their distribution do not differ substantially from those involved in the sale of variable contracts. Consequently, the limited qualification requirements that apply to registered principals and registered representatives for investment companies and variable contracts products are appropriate for persons who engage in the marketing of registered securities issued by the general accounts of life insurance companies.

Questions regarding this notice may be directed to Frank J. McAuliffe, Vice President, Qualifications, at New language is underlined; deleted language is bracketed. Manual Search. Capital Acquisition Broker Rules. Funding Portal Rules. Retired Rules. Notices Trade Date-Settlement Date Schedule. Trade Date — Settlement Date Schedule. Sunrise Blvd. Austin Investment Planning, Inc.

Previous Next. Branch Offices and Offices of Supervisory Jurisdiction Foreign Associates. Compliance and Registration Personel This notice reviews the application of certain qualification and registration requirements of Schedule C of the NASD By-Laws for persons who solicit new accounts on behalf of members. Sincerely, John T. View Whole Section. Text only. Print Manager.

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FDAAA 801 and the Final Rule

Degree application deadline for September SB and advanced degrees. Registration deadline. Registration for all students must be submitted by this date. Fall pre-registration deadline. Degree application deadline for February SB and advanced degrees. Minor completion date.

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Sign in to add this item to your wishlist, follow it, or mark it as not interested. Sign in to see reasons why you may or may not like this based on your games, friends, and curators you follow. Includes 3 items: The Witcher: Wild Hunt. All rights reserved. Based on the works of Andrzej Sapkowski. Manufactured and marketed by Atari, Inc. Atari and the Atari logo are trademarks owned by Atari Interactive, Inc. Windows and the Windows Vista Start button are trademarks of the Microsoft group of companies, and 'Games for Windows' and the Windows Vista Start button logo are used under license from Microsoft.

Branch Offices and Offices of Supervisory Jurisdiction. This notice reviews the application of certain qualification and registration requirements of Schedule C of the NASD By-Laws for persons who solicit new accounts on behalf of members.

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This notice contains a discussion of the background of these rules and a section-by-section analysis. The text of the proposed rules is attached. A special subcommittee of the Corporate Advisory Board chaired by B. After careful consideration, the Corporate Advisory Board accepted the subcommittee's recommendations and in turn recommended to the NASD Board of Governors that the following corporate governance rules be proposed and that a survey on other possible rules be conducted. The proposed rules are summarized below. The text of the rules appears as Exhibit A. Distribution of Annual and Interim Reports — The rules would require issuers to distribute both annual and interim reports to shareholders. Annual reports will be required to be distributed within "a reasonable period of time prior to the company's annual meeting," whereas interim reports would be distributed "within a reasonable time" following filing of required interim financial reports with the SEC or other regulatory authority. Other companies would be required to provide shareholders with reports reflecting information contained in interim financial reports filed with the appropriate regulatory body. Independent Directors — The rules would require issuers to maintain a minimum of two independent directors on each company's board.

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