1996 Advertising Regulation-Related Notices to Members
Use the Advertising Regulation-Related Notices Subject Index to locate a Notice by topic, or browse Notices by date below.
|July | September | December|
|96-86 NASD Regulation Reminds Members and Associated Persons That Sales of Variable Contracts are Subject to NASD Suitability Requirements|
NASD Solicits Comment on Proposed Rules Governing Supervision, Review, and Record Retention of Correspondence;
Comment Period Expires January 30, 1997
|96-60 Clarification of Members' Suitability Responsibilities Under NASD Rules with Special Emphasis on Member Activities in Speculative and Low-Priced Securities|
|96-50 Supervisory and Other Obligations Related to Use of Electronic Media|