NASD Member Updates

NASD published Member Updates on an ad hoc basis to provide members with timely and practical information on a variety of topics, including information about new and amended rules, common compliance issues, revised regulatory-program requirements, and current corporate news. Through Member Updates, NASD strove to provide helpful educational information that member firms and others in the industry could review and circulate within a firm for general information or awareness.

These individual articles replaced the Regulatory & Compliance Alert and were published as needed. This information is currently circulated in FINRA Regulatory Notices.

 

10/9/03 NASD Review of Hedge Fund Advertising Results in Formal Action