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

 

October 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)