1996 Advertising Regulation-Related Notices to Members

Use the Advertising Regulation-Related Notices Subject Index to locate a Notice by topic, or browse Notices by date below.

July | September | December

December 1996

96-86 NASD Regulation Reminds Members and Associated Persons That Sales of Variable Contracts are Subject to NASD Suitability Requirements
96-82 NASD Solicits Comment on Proposed Rules Governing Supervision, Review, and Record Retention of Correspondence;
Comment Period Expires January 30, 1997

September 1996

96-60 Clarification of Members' Suitability Responsibilities Under NASD Rules with Special Emphasis on Member Activities in Speculative and Low-Priced Securities

July 1996

96-50 Supervisory and Other Obligations Related to Use of Electronic Media