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Code of procedure

The NASD guide for handling and adjudicating complaints filed against NASD members under ITS Rules of Fair Practice.

Related Terms: 3 ITS, NASD, Rules of Fair Practice
Other Related Pages: Category: Brokerages Starting With: C
Semi Related Terms: 338 CLICK HERE TO VIEW
30-day wash rule, Allowance for depreciation, Accrual of discount, Amortization of premium, At par, Allied member, All or any part, Associate member, At best, At call, At risk, Abstract of title, As is, Attorney in fact, Assignment of mortgage, A shares, Assets under management, At the money, Across the board, Additional paid-in capital, Ad valorem, Against the box, At the bell, At the close, At the figure, At the full, At the market, At the opening order, Automated Pricing and Reporting System, Away from the market, Below the line, Books of final entry, Books of original entry, Banking Act of 1933, Bureau of Public Debt, Brought over the wall, Buy the book, Balance of payments, Board of Governors, Breaking the syndicate, Bill of exchange, Bill of sale, Breach of trust, By the book, B shares, Buy and write, Breadth-of-market theory, Beat the gun, Cost Of Goods Sold, Cost of sales, CAT bond, Certificate of Participation, Clearing member, Code of procedure, Customer protection rule, Capitalization of income, Cost of Living Adjustment, Cost-of-living index, Council of Economic Advisers, Cash and carry trade, Chasing the market, Chicago Board of Trade, Commodities Exchange Act, Cost-of-living rider, Capital gains distribution, Certificate of stock, Cost of carry, Certificate of title, Contract for deed, Cancellation of debt, Certificate of Claim, Cost of debt capital, Cost of funds, C shares, Class of options, Close to the money, Cash Against Documents, Certificate of Occupancy, Cash or Deferred Arrangement, Class A Shares, Class B Shares, Crash of 1929, Crash of 1987, Capital gains tax, Child and dependent care credit, Coefficient of determination, Cup and handle, Certificate of delivery, Close a position, Cornering the market, Curbs in, Deposit in transit, Date of issue, Date of payment, Division of Enforcement, Division of Investment Management, Division of Market Regulation, Date of record, Dividend in arrears, Desk (the), Division of labor, De-escalation clause, De facto, Doing business as, Durable Power of Attorney, Date of maturity, Debtor in possession, Debtor-in-possession financing, Deed of Release, Deed of Trust, Discharge of bankruptcy, Discharge of lien, Deep in the money, Deep out of the money, Deed of Surrender, Department of Housing and Urban Development, Dogs of the Dow, Dead cat bounce, Depth of market, Eurodollar certificate of deposit, Either-or order, Edge Act, E-mini, Exchange against actuals, Exchange for futures, Exchange for physical, Exchange of spot, Employee Retirement Income Security Act of 1974, First In First Out, Federal Savings and Loan Association, Flow of funds, Fill or kill, Front-ending an order, Forward P/E, Factors of production, Favorable balance of trade, Fee-for-service, Fair market value, Form S-1, Friends and family offering, Fair Credit Reporting Act, Fair Debt Collection Practices Act, Full faith and credit, Family of funds, Fund of funds, Free and clear, Federal Insurance Contributions Act, Free right of exchange, Federal ID Number, Fair value, Glass-Steagall Act, G-7, General Agreement on Tariffs and Trade, G-8, Growth and income fund, Gather in the stops, Hart-Scott-Rodino Act of 1976, Hit the bid, House of issue, Health Insurance Portability and Accountability Act, Holder in due course, Home equity line of credit, Home Mortgage Disclosure Act, Head and shoulders, Hammering the market, Held at the opening, Holding the market, In escrow, In-house, Investment Advisor Act of 1940, Investment Company Act of 1940, In line, Invisible hand, Insider Trading sanctions Act of 1984, Internal Rate of Return, Indication of interest, In intestacy, In play, In-process research and development, I/O strip, In-service withdrawal, Income exclusion rule, Imbalance of orders, In and out, In sympathy, In the tank, ITS, Jointly and severally, Jumping the gun, Joint and several liability, Joint and survivor annuity, Last In First Out, Lender of last resort, Law of one price, Lending at a rate, Lessee member, Law of demand, Law of supply, London International Financial Futures and Options Exchange, Letter of comment, Line of credit, Lock-in, Leading the market, Locked in, Long-term gain or loss, Level I quotes, Member bank, Make a market, Member firm, Medium of exchange, Money at call, Negotiable certificate of deposit, Negotiable Order of Withdrawal, Nine-Bond Rule, Notice of Sale, NASD, NASD Regulation, National Association of Securities Dealers, National Association of Securities Dealers Automated Quotations system, Null and void, Notice of Default, National Association of Real Estate Investment Trusts, Off the books, Office of Thrift Supervision, Out-of-favor, Over-the-Counter, Or better, One-share one-vote rule, Opinion of title, On-the-spot loan, Out of the money, Old age, survivors, and disability insurance, On the opening, Pooling of interests, Profit and loss statement, Payment-in-kind security, Price Value of a Basis Point, Payment for order flow, P&L, Provision for income taxes, Power of Attorney, Prioritization of debt, Prudent Expert Act, Paid-in capital, Paid-in surplus, Private Investment in Public Equity, Preservation of capital, Point-and-figure chart, Painting the tape, Plus tick rule, Reports and Records, Return of capital, Reading the tape, Receive against payment, Regulation D, Regulation G, Regulation T, Regulation U, Round of funding, Rule 10b-6, Rule 15c3-1, Rule 19c3, Rule 405, Rule 415, Rules of Fair Practice, Rate of exchange, Reciprocal of European terms, Regulation A, Right of first refusal, Right of rescission, Revolving line of credit, Right of recourse, Rule of 78, Right of redemption, Retirement Equity Act of 1984, Rate of return, Real rate of return, Rule 13d, Selling, General and Administrative Expenses, SG&A, Savings and Loan, Sight letter of credit, S&L, Securities and Exchange Commission, Segregation of securities, Sell the book, Suitability Rules, Syndicate member, Standard of living, Statute of Limitations, Sale and leaseback, Satisfaction of debt, Staggered board of directors, Selling the spread, Savings Incentive Match Plan for Employees, Selling short against the box, Shorting against the box, Short sale rule, S Corporation, Short-term gain or loss, Subchapter M, Subchapter S Corporation, Schedule C, Securities Act of 1933, Securities Acts Amendments of 1975, Securities Exchange Act of 1934, Seek a market, Short swing rules, S&P phenomenon, Stop and reverse, T-Bill, Take a position, Trailing P/E, Tenancy by the entirety, Truth in Lending, Tenancy at will, The Street, Timing the market, Taxpayer Relief Act of 1997, Tax Reform Act of 1986, Tax Reform Act of 1993, Take a bath, U.S. Government Agency Security, U.S. Savings Bond, U.S. Treasury, U.S. Treasury Bill, U.S. Treasury Bond, U.S. Treasury Note, U.S. Treasury Securities, Uniform Securities Act, Unit of trade, Unit of trading, Williams Act, Waiver of premium, Widow-and-orphan stock, Wash sale rule, When, as, and if issued, X or XD