Displaying 1261 - 1270 of 1663 Results
Notice to Members 05-49
GUIDANCE Safeguarding Confidential Customer Information SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Operations Senior Management Systems New Technology Privacy Protection of Customer Information Executive Summary NASD members are required to maintain policies and procedures that address
Remarks at the Distinguished Speaker Series, Georgetown University McDonough School of Business
Thank you, John for that kind introduction. It's an honor to speak at this great university – and the McDonough School in particular. Georgetown University is an incredibly valuable resource – to its students and the entire business and financial community.
Threat Intelligence Product: Protecting Vulnerable Adult and Senior Investors
FINRA’s Financial Intelligence Unit (FIU) and Vulnerable Adults and Seniors Team (VAST) are issuing this Threat Intelligence Product (TIP), which provides an overview of FINRA’s observations regarding the vulnerability of senior investors to investment scams, the devastating consequences for the victims and the importance of education about financial scams to prevent initial victimization and re-victimization.
Interpretive Letter to Jeffrey W. Kilduff, Esq., O'Melveny & Myers, LLP
<p>Permissibility of electronic signatures under NASD Rules 3010(d) and 3110(c)(1)(C).</p>
Notice to Members 99-41
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal &amp; Compliance Municipal Mutual Fund Operations Options Registered
Regulatory Notice 22-31
Summary Member firms are required to make reasonable efforts to obtain the name of and contact information for a trusted contact for a non-institutional customer’s account. This Notice summarizes member firms’ regulatory obligations, discusses the benefits of trusted contacts in administering customers’ accounts, highlights customer education resources and shares effective practices member firms
Notice to Members 98-56
Effective Date: January 1, 1999 SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal &amp; Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts
Notice to Members 97-41
Comment Period Expires: July 15, 1997 SUGGESTED ROUTING &nbsp; Senior Management Corporate Finance Institutional Legal &amp; Compliance Mutual Fund Operations Options Research Systems Trading
Notice To Members 94-95
Comment Period Expires January 31, 1995 SUGGESTED ROUTING Senior ManagementLegal &amp; ComplianceRegistration Executive Summary The National Association of Securities Dealers, Inc. (NASD) requests comments on a proposed amendment to Article III of the Rules of Fair Practice (Rules) to require members to report to the NASD the occurrence of specified events and quarterly summary
Notice To Members 89-23
SUGGESTED ROUTING* Senior Management Legal &amp; Compliance Operations Registration Training *These are suggested departments only. Others may be appropriate for your firm. IMPORTANT MAIL VOTE EXECUTIVE SUMMARY The NASD invites members to vote on proposed amendments to