NASD Regulatory & Compliance Alert Article Reference Guide

Spring 2003

  • Advertising Regulation Electronic Filing
  • Reminder to Members That Their Supervisory Systems and Written Supervisory Procedures Must Be Periodically Amended
  • New Series 51 Examination

 

Winter 2002

  • Recent Amendments to Rule 3010 (Supervision)

 

Fall 2002

  • Municipal Fund Securities – Section 529 College Savings Plans – Qualifications – New Limited Principal Examination
  • Security Futures Firm Element Continuing Education Requirement

 

Summer 2002

  • Variable Annuity Performance

 

Spring 2002

  • NASD Regulation Cautions Firms for Deficient Variable Annuity Communications
  • Fund Level Expenses in Variable Life Hypothetical Illustrations
  • Reminder—Suitability of Variable Annuity Sales

 

Winter 2001

  • Presentation of Variable Life Insurance Performance in Member Communications

 

Fall 2001

  • Exchange-Traded Fund Performance
  • Municipal Fund Securities

 

Summer 2001

  • "Ask the Analyst"
    • Seminars
    • Variable Insurance Products
  • Compliance Focus: Disclosure in "Stretch IRA" Sales Material

 

Summer 2000

  • Advertising of Bonus Credit Variable Annuities
  • Inaccurate Performance Graphs Result in Formal Action

 

Spring 2000

  • Improper Advertising Regarding Electronic and Day-Trading Services Result in Formal Disciplinary Actions

 

Winter 1999

  • "Ask the Analyst"
    • Bank Broker-Dealers
    • Closed End Funds
    • Electronic Communications
    • Fixed Annuities
    • Rankings of BD Offerings NASD

 

Fall 1999

  • "Ask the Analyst"
    • Correspondence
    • Filing Requirements and Electronic Communications
    • BD-Use Publications
    • Recommendations

 

Summer 1999

  • Sudden Performance Changes May Require More Information

 

March 1999

  • "Ask the Analyst"
    • Electronic Communications
  • Electronic Trading Advertisements Raise Investor Protection Concerns

 

December 1998

  • "Ask the Analyst"
    • Electronic Communications
    • Mutual Funds Ranking Guidelines
    • Options and Filing Requirements
  • Internal Rates of Return In Variable Life Hypothetical Illustrations

 

September 1998

  • "Ask the Analyst"
    • Bank Broker-Dealer Names
    • Dual Registration
    • Electronic Communications & Approval and Recordkeeping
    • Electronic Communications & Broker-Dealer Name
    • Internal-Use-/BD-Use-Only Material
  • Limited Review of Communications with the Public

 

June 1998

  • "Ask the Analyst"
    • Approval and Recordkeeping
    • Broker-Dealer Names
    • Electronic Communications

 

March 1998

  • Advertising Update: Registered Principal Approval Required; Date of First Use

 

December 1997

  • "Ask the Analyst"
    • Electronic Communications
    • Interactive Calculators

September 1997

  • "Ask the Analyst"
    • Approval and Recordkeeping
    • Mutual Funds (reprinted from July 1995 RCA)
    • Unit Investment Trusts
  • Member Firms Seek Guidance on Public Appearances

 

June 1997

  • "Ask the Analyst"
    • Bank Broker-Dealers
    • Electronic Communications
    • Electronic Communications and Mutual Funds
    • Mutual Funds
  • New Rule Applies to Telemarketing Scripts
  • NASD Permits Broader Use of Non-Member Names in Members' Communications

 

March 1997

  • "Ask the Analyst"
    • Broker/Dealer Names
    • Electronic Communications and Broker-Dealer Names
    • Electronic Communications and Filing Requirements
    • Electronic Communications and Stocks/Research Reports
    • Mutual Funds and Filing Requirements
    • Mutual Funds
    • Variable Products

 

November 1996

  • "Ask the Analyst"
    • CDs
    • International Risk Disclosure
    • Minimum Time for Radio/TV Disclosures
  • Blended Fund Family Performance Concerns NASD Regulation

 

July 1996

  • "Ask the Analyst"
    • Securities Business In Financial Institutions
    • Filing Requirements
    • Internal Use Only Material

 

April 1996

  • "Ask the Analyst"
    • About Electronic Communications

 

January 1996

  • "Ask the Analyst"
    • General Issues
    • Mutual Fund Matters
    • Fixed Income Matters
    • Issues Raised About Variable Annuities

 

October 1995

  • "Ask the Analyst"
    • Filing Requirements (PDF 22 KB)
    • Recruiting Material (PDF 8 KB)

 

July 1995

  • "Ask the Analyst"
    • Filing Requirements (PDF 23 KB)
    • Footnotes (PDF 8 KB)
    • Private Placements (PDF 16 KB)

 

April 1995

  • "Ask the Analyst"
    • Filing Requirements (PDF 19 KB)
    • Recommendations (PDF 10 KB)
    • Research Report Forecasts (PDF 9 KB)
  • Misuse Of Charts Comparing Index Returns Concerns NASD  (PDF 23 KB)

 

January 1995

  • "Ask the Analyst"
    • Minimum Type Size (PDF 26 KB)


October 1994

  • Members Cautioned About Discount Brokerage Commission Advertising (PDF 27 KB)