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 NASD.

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

Examples of NASD Rules in a sentence

• 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.

• 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.

• Such bond shall be, at least, of the form, type and amount required under the NASD Rules of Fair Practice.

• NW further agrees to immediately notify Distributor if such appointed persons are the subject of such other occurances or events that Distributor has identified in writing to NW as occurences or events for which Distributor is required to provide notice to FINRA in accordance with applicable NASD Rules.

• All distribution activities engaged in by Distributor and its Representatives with respect to the Contracts shall be in compliance with all applicable federal and state securities laws and regulations, with NASD Rules, as well as with all applicable insurance laws and regulations, including any laws and regulations related to suitability, any other applicable federal or state law, rule, or regulation, and any of the policies and procedures that NW may issue from time to time.

More Definitions of NASD Rules

NASD Rules means the rules and regulation promulgated by the NASD.

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 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. (a) "NAV" means the net asset value per Share of each Class of each Fund as determined by the Trust, or its designated agent, in accordance with and at the times indicated in the applicable Prospectus of the Trust on each Fund Business Day in accordance with the method set forth in the Prospectus and guidelines established by the Board.

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.

NASD Rules has the meaning set forth in Section 3.28(b).