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Monthly Disciplinary Actions October 2002
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
2270. Day-Trading Risk Disclosure Statement
(a) Except as provided in paragraph (b), no member that is promoting a day-trading strategy, directly or indirectly, shall open an account for or on behalf of a non-institutional customer unless, prior to opening the account, the member has furnished to each customer, individually, in paper or electronic form, the disclosure statement specified in this paragraph (a). In addition, any member
Election Notice - 1/2/09
Upcoming District Committee and District Nominating Committee Elections
Regulatory Notice 10-02
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010
Regulatory Notice 09-01
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009
Notice to Members 05-11
GUIDANCE AND REQUEST FOR COMMENT Regulatory Transaction Fees Comment Period Expires March 30, 2005 SUGGESTED ROUTING KEY TOPICS Finance Legal & Compliance Operations Senior Management Regulatory Transaction Fees Section 31 of the Exchange Act Section 3 of Schedule A to the NASD By-Laws Executive Summary In August 2004, NASD issued Notice
Notice to Members 03-31
INFORMATIONAL District Elections SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registration Senior Management District Elections Executive Summary The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on the
BrokerCheck FAQ
Frequently asked questions about FINRA BrokerCheck, a free tool for researching brokers, brokerage firms, investment advisers & investment adviser firms.
Notice to Members 01-43
INFORMATIONAL District Elections SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registration Senior Management District Elections Executive Summary The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on the District Committees and the District Nominating
Notice to Members 03-42
INFORMATIONAL Revised Forms U4 and U5 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registered Representatives Registration Senior Management Training Central Registration Depository Form U4 Form U5 Statutory Disqualification Executive Summary The Securities and Exchange Commission (SEC