Notice to Members 01-78
NASD Regulation Office of General Counsel Announces the Publication of The Disciplinary Update
The NASD Regulation, Inc. (NASD Regulation) Office of General Counsel (OGC) announces the quarterly distribution of a new publication entitled the Disciplinary Update. The Disciplinary Update will contain straightforward summaries designed to be of instructional value for compliance officials and registered persons. It will focus on factual and legal findings and the sanctions imposed in recent disciplinary decisions and settlements involving registered representatives.
Questions concerning this Notice may be directed to Carla J. Carloni, Associate General Counsel, Office of General Counsel, NASD Regulation, at (202) 728-8019.