NASD Notice to Members 99-91 - November 1999

NASD Revises and Replaces Notice to Members 99-59 and Issues New Censure Policy

Executive Summary

In July 1999, the National Association of Securities Dealers, Inc. (NASD®) issued Notice to Members 99-59 regarding a new censure policy adopted by the National Adjudicatory Council (NAC). This Notice to Members revises and replaces Notice to Members 99-59; members should discard their copies of the Notice to Members 99-59 and refer to this Notice to Members for guidance on this issue.

 

Questions concerning this new policy may be directed to Shannon Lane, Senior Attorney, Office of General Counsel, NASD Regulation, Inc. (NASD RegulationSM), at (202) 728-6904.