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Notice to Members 02-05
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
Regulatory Notice 18-39
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
Name Not Public
Exemptive relief is granted based on: the representation that the acquiring firm did not engage in the soliciation of business and the individual was not, at the time, considered to be an MFP as defined; the acquiring firm did not have knowledge of the contribution and the contribution has been returned; the municipal securities business relationships of the acquired firm were long standing and existed prior to the contribution; the firm has instituted extensive information barriers on certain municipal business communications; the individual involved will be prohibited from the solicitation of new municipal securtiies business for a period of time.
Testimony Before the Committee on Financial Services Subcommittee on Investigations and Oversight
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.
Notice to Members 03-63
ACTION REQUIRED Expense-Sharing Agreements SUGGESTED ROUTING KEY TOPICS Accounting Executive Representatives Internal Audit Legal & Compliance Operations Senior Management Expense-Sharing Agreements Net Capital Recordkeeping SEC Rule 15c3-1 SEC Rules 17a-3, 17a-4, and 17a-5 Executive Summary On
Notice To Members 93-58
SUGGESTED ROUTING Senior ManagementCorporate FinanceGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining Executive Summary The NASD® has created a Member Buying Services department and consolidated responsibility for the operation of its existing sponsored programs under the
Regulatory Notice 20-14
Summary Exchange-traded products (ETPs) provide different types of exposure to the oil market through several product structures, which some investors or investment professionals might not understand.1 Moreover, the performance of such products may be linked to unfamiliar indices or reference benchmarks, making them difficult for the average investor to comprehend. In particular, a
Notice To Members 91-33
SUGGESTED ROUTING:* Senior ManagementCorporate FinanceLegal & ComplianceTrading*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The NASD requests comments on a proposed amendment to Part 111, Section 5 of Schedule D to the NASD By-Laws to provide nonquantitative designation criteria for limited partnerships that list on the Nasdaq
Frequently Asked Questions (FAQ) regarding Anti-Money Laundering (AML)
Answers to frequently asked questions regarding FINRA Rule 3310 and AML program requirements.
Remarks at NSCP 2014 National Conference
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.