Comment Period Expires: January 15, 1999
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Senior Management
Legal & Compliance
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NASD Regulation Request For Comment 98-101
Executive Summary
NASD Regulation, Inc. (NASD Regulation SM) is proposing to amend disclosure questions on the Form U-4 and Form U-5 that were approved by the Securities and
Effective Date: January 1, 1999
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Senior Management
Advertising
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Variable Contracts
These days, it's not a matter of if, but when, when it comes to cybersecurity incidents, which is why it's essential for all firms to ensure they're prepared for the inevitable. On this episode, we're catching up with two members of FINRA's Complex Investigations and Intelligence Team for an update on the cyber threat landscape and what firms should be thinking about and doing in response to the latest trends.
FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs
Last Voting Date: February 16, 1996
Executive Summary
The NASD invites members to vote on proposed amendments to the NASD By-Laws that will require members to file electronically Forms U-4, U-5, and BD and amendments thereto. These amendments also establish time periods for when such filings must be made. Ballots must be postmarked no later than February 16, 1996.
Text of the amendment
INFORMATIONAL
District Elections
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KEY TOPICS
Legal & Compliance
Operations
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Senior Management
District Elections
Executive Summary
Through this Notice, the National Association of Securities Dealers, Inc. (NASD®) announces the election results for the District Committees and the District Nominating Committees. The newly elected
OTC Equity Trading and Reporting in the Event of Systems Issues
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsRegistration
Executive Summary
The 1993-94 NASD broker/dealer and agent registration renewal cycle begins in early November. This program simplifies the renewal process through the payment of one invoice amount that will include fees for NASD personnel assessments; NASD branch-office fees; and New York Stock
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Executive Summary
On November 3, 1998, the Securitiesand Exchange Commission (SEC)issued a No-Action Letter to clarify itsposition under SEC Rule 15c3-1 (NetCapital Rule) regarding the
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Executive Summary
On November 3, 1998, the Securitiesand Exchange Commission (SEC)issued a No-Action Letter to clarify itsposition under SEC Rule 15c3-1 (NetCapital Rule) regarding the
