Notice to Members 00-02
NASD Alerts Members to Their Obligations Concerning Soliciting Business in Foreign Jurisdictions
Foreign regulators have informed the National Association of Securities Dealers, Inc. (NASD®) that persons associated with member firms may be soliciting business in the regulators’ jurisdictions in violation of local foreign laws. NASD Regulation, Inc. (NASD RegulationSM) reminds members considering soliciting business in foreign jurisdictions to ensure that such activities comply with all applicable laws.
Questions regarding this Notice may be directed to Eric Moss, Assistant General Counsel, Office of General Counsel, NASD Regulation, at (202) 728-8982.