1999 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.

January | February | May

May 1999

99-35 The NASD Reminds Members of Their Responsibilities Regarding the Sales of Variable Annuities

February 1999

99-16 SEC Approves Changes to Rules Regarding Membership and Registration; Investigation and Sanctions; and Conduct and Code of Procedure
99-11 NASD Regulation Issues Guidance Regarding Stock Volatility

January 1999

99-03 SEC Approves Rule Amendments Requiring Review of Incoming, Written Correspondence; Effective March 15, 1999