NASD Notice to Members 96-27 - April 1996

Significant Disciplinary Actions Prompt Reentry into the Regulatory Element of the Continuing Education Program

Executive Summary

The purposes of this Notice are to remind members that significant disciplinary actions prompt reentry into the Regulatory Element of the Continuing Education Program; to advise members that, in late April 1996, the NASD will initiate reentry into the Regulatory Element for those members who were the subject of significant disciplinary actions between July 1, 1985, and June 30, 1995; and to illustrate how reentry into the Regulatory Element works.

 

Questions about this Notice may be directed to John Linnehan, Director, Continuing Education, at (301)-208-2932 or to your CRD Quality and Service Team.