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Election Notice - 10/17/12
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Notice to Members 99-81
ACTION REQUESTED BY OCTOBER 29, 1999 Comment Period Expires October 29, 1999 Salesperson Compensation Practices SUGGESTED ROUTING KEY TOPICS Legal & Compliance Mutual Funds Registered Representatives Senior Management Associated Persons of Members Compensation Investment Company Securities The Suggested Routing function is meant to aid the reader of this document. Each
Election Notice - 10/19/11
Notice of Contested Election and Ballots for Small Firm NAC Member Seat
Notice to Members 02-68
INFORMATIONAL SEC Approves Rule Change to IM-10100 Effective Date: On or After September 30, 2002 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Registered Representatives Registered Principals Senior Management Arbitration
Notice to Members 01-51
INFORMATIONAL Registration Of Chief Compliance Officers Effective Date: January 1, 2002 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Senior Management Chief Compliance Officers Continuing Education/Testing/Qualifications Registration Executive Summary On June 19, 2001, the Securities and Exchange Commission (SEC)
Notice to Members 99-57
Effective Date: July 19, 1999 SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts Executive
Notice to Members 98-52
Executive Summary On April 17, 1998, in Release No. 34-39883, the Securities and Exchange Commission (SEC) approved an amendment to National Association of Securities Dealers, Inc. (NASD®) Rule 3010 to require members to establish special supervisory procedures, including the tape recording of conversations, when they have hired more than a specified percentage of registered persons from certain
Notice to Members 98-02
  SUGGESTED ROUTING Senior Management Internal Audit Legal & Compliance Operations Registration Training     Executive Summary     On December 19, 1997, the Securities and Exchange Commission (SEC or Commission) approved various amendments to the Rules of the National
Notice to Members 97-58
Comment Period Expires: October 31, 1997 SUGGESTED ROUTING   Senior Management Internal Audit Legal & Compliance Operations Registration Training Executive Summary NASD Regulation, Inc. (NASD RegulationSM)
Regulatory Notice 14-11
SEC Approves Amendments to Uniform Branch Office Registration Form (Form BR)