Industry Issues
- Advertising
- Anti-Money Laundering
- Books & Records
- Breakpoints
- Business Continuity Planning
- College Savings Plans
- Consolidated Audit Trail
- Crowdfunding
- Customer Information Protection
- Mergers Acquisitions and Business Transfers
- Mutual Funds
- Research Analyst Rules
- Security Futures
- Senior Investors
- Suitability
- Supervisory Control
- Variable Annuities
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 |
December 1996 |
| 96-86 NASD Regulation Reminds Members and Associated Persons That Sales of Variable Contracts are Subject to NASD Suitability Requirements |
|
96-82
NASD Solicits Comment on Proposed Rules Governing Supervision, Review, and Record Retention of Correspondence;
Comment Period Expires January 30, 1997
|
September 1996 |
| 96-60 Clarification of Members' Suitability Responsibilities Under NASD Rules with Special Emphasis on Member Activities in Speculative and Low-Priced Securities |
July 1996 |
| 96-50 Supervisory and Other Obligations Related to Use of Electronic Media |