NASD Notice to Members 99-49 - June 1999

NASD Regulation Provides Interpretive Guidance on Registration Requirements

Executive Summary

NASD Regulation, Inc. (NASD Regulation®) receives numerous inquiries regarding whether certain individuals are required to be registered with the National Association of Securities Dealers, Inc. (NASD®) under NASD Rules 1021 and 1031. The purpose of this Notice to Members is to provide interpretive guidance to members on some of these issues.

 

Questions regarding this Notice to Members may be directed to Mary M. Dunbar, Assistant General Counsel, NASD Regulation, at (202) 728-8252.