SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements
Comment Period Expires February 15, 1995
SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & ComplianceMutual Fund
Executive Summary
The National Association of Securities Dealers, Inc. (NASD) requests comment on proposed amendments to the NASD Rules of Fair Practice to adopt rules governing broker/dealers operating on the premises of financial institutions. The proposed rules
FINRA Requests Comment on a Concept Proposal to Develop the Comprehensive Automated Risk Data System
INFORMATIONAL
Registration Requirements
Effective Date: September 17, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Limited Principal—Financial and Operations
Limited Principal—Introducing Broker/Dealer Financial and Operations
Executive Summary
On May 21, 2001, the Securities and Exchange
INFORMATIONAL
Ombudsman
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Corporate Finance
Legal & Compliance
Registration
Senior Management
Trading & Market Making
Ombudsman
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Training
Executive Summary
The Office of General Counsel, NASD Regulation, Inc. (NASD RegulationSM) is issuing this Notice to provide interpretive guidance to members regarding NASD® Rule 3050 and, in particular, paragraph (d) of the Rule. Rule 3050 was designed to obligate members to use reasonable
SUGGESTED ROUTING
Senior Management
Advertising
Corporate Finance
Legal & Compliance
Registration
Trading
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) Office of the Ombudsman staff has helped resolve many issues and concerns raised by members and their associated persons, issuers and their associated persons, and investors.
FINRA and the SEC Issue Joint Guidance on Effective Policies and Procedures for Broker-Dealer Branch Inspections
Proposed Rule Change to Eliminate Duplicative Filings Under FINRA Rule 9610
I M P O R T A N T
MAIL VOTE
Officers * Partners * Proprietors
TO: All NASD Members
Last Voting Date Is September 19, 1983
Enclosed herewith is a proposed new rule under Article III of the Rules of Fair Practice. Proposed Section 38 was approved by the Association's Board of Governors and now requires the approval of the membership. If approved, it must then be filed with, and approved by,
