GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal & ComplianceOperationsSenior Management
Clearing FirmsIntroducing FirmsNASD Rule 2342Securities Investor Protection Act of 1970 (SIPA)Securities Investor Protection Corporation (SIPC)SIPC BrochureSIPC Web Site
SIPC Information
Executive Summary
On May 10, 2007, the Securities and Exchange Commission (SEC) approved NASD Rule 2342
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
The Office of General Counsel (OGC) of NASD Regulatory Policy and Oversight publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (Hearing Panel and National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission (SEC) in NASD cases).
NTM 06-60 is superseded by NTM 06-72GUIDANCE
Customer Account Statements
SUGGESTED ROUTING
KEY TOPICS
Individual Investors
Legal & Compliance
Operations
Registered Representatives
Senior Management
Clearing Firms
Customer Account Statements
Introducing Firms
NASD Rule 2340
SIPA (Securities Investor
Protection Act)
On behalf of the National Association of Securities Dealers ("NASD"), I want to thank the Committee for this opportunity to testify. My name is Daniel M. Sibears and I am a Senior Vice President and Deputy for Member Regulation at NASD in Washington, D.C.
The work you do is incredibly important, and we appreciate and respect your critical contributions to our shared objectives of investor protection and market integrity.
INFORMATIONAL
NAC Nominations
Nomination Deadline: September 14, 2001
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill two upcoming vacancies on the National Adjudicatory Council (NAC). The
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
Executive Summary
On April 11, 1994, The Nasdaq Stock Market Inc., began operation of the Fixed Income Pricing SystemSM known as FIPSSM for members trading high-yield bonds. FIPS was created to facilitate the over-the-counter trading of
Day of Closure
Regulatory Notice
Notice Type
Guidance
Referenced Rules & Notices
Federal Reserve Board Regulation T
FINRA Rule 4210
FINRA Rule 4230
FINRA Rule 4521
FINRA Rule 4524
SEA Rule 15c3-1
SEA Rule 15c3-3
SEA Rule 17a-5
Regulation SHO
Suggested Routing
Compliance
Legal
Margin Department
Operations
INFORMATIONAL
FOCUS Reporting
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Internal Audit
Legal & Compliance
Operations
Senior Management
Financial Accounting Standards Board
FOCUS Reports
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) has modified the FOCUS Report to include disclosure, pursuant to Financial
