Displaying 1721 - 1730 of 2388 Results
Notice to Members 02-52
REQUEST FOR COMMENT Branch Office Definition Comment Period Expires: September 20, 2002 SUGGESTED ROUTING KEY TOPICS CRD Legal & Compliance Member Regulation Operations Senior Management Branch Office Definition Rule Modernization Rule 3010(g)(2) Executive Summary NASD requests comment from members, investors, and other interested parties on proposed
Notice to Members 05-38
ACTION REQUIRED Deficits in Introduced Accounts SUGGESTED ROUTING KEY TOPICS Senior Management Executive Representatives Legal & Compliance Operations Clearing Firms Deficits in Introduced Accounts Introducing Firms Executive Summary NASD is concerned that clearing firms and introducing firms are frequently
Notice to Members 97-86
National Association of Securities Dealers, Inc. — 1735 K Street, NW — Washington, DC 20006 — 202-728-8000 November 15, 1997 Dear Member: We are in the process of planning for the 1998 Annual Meeting of Members where Members will be asked to elect 22 Governors. The Members and the SEC just approved changes to the NASD By-Laws designed to improve our corporate governance structure so that
Testimony at the Hearings on Micro-Cap Stock Fraud
I am pleased to be able to participate in these important public hearings on micro-cap stock fraud. As head of NASD Regulation’s Enforcement Department, my staff and I have had numerous opportunities to work with Andrew Kandel and the fine staff of the New York Attorney General’s Bureau of Investor Protection & Securities.
Notice to Members 01-66
INFORMATIONAL Operations Effective Date: September 12, 2001 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Senior Management ACATS Rules Uniform Practice Code Executive Summary     On September 12, 2001, the Securities and Exchange Commission (SEC)
Interpretive Letter to Steven F. Gatti, Esq., Clifford, Chance, Rogers & Wells
<p>Electronic Batch Approval of New Customer Accounts.</p>
Notice To Members 94-22
Last Voting Date: May 31, 1994 SUGGESTED ROUTING Senior ManagementLegal &amp; Compliance Executive Summary The NASD invites members to vote on proposed amendments to Article III of the NASD By-Laws and to Part I of Schedule C to the By-Laws to require that initial application for NASD membership be reviewed by a Subcommittee designated by the District Committee, with right of appeal
Regulatory Notice 15-05
SEC Approves Consolidated FINRA Rule Regarding Background Checks on Registration Applicants
Notice To Members 94-96
Comment Period Expires January 31, 1995 SUGGESTED ROUTING Senior ManagementInternal AuditLegal &amp; ComplianceOperationsSystems Executive Summary The NASD requests comments on proposed amendments to Article in, Section 45 of the Rules of Fair Practice that would require certain disclosures and reporting of Direct Participation Program (DPP) securities on customer account statements.
Regulatory Notice 08-14
Beginning June 26, 2008, all applicants for FINRA membership must use the revised online Form NMA and comply with NASD Rule 1013 (New Member Application and Interview) as amended.