For Your Information
National Association of Securities Dealers, Inc.
February 1989
Series 7 Test Date and Site Changes in February
February Series 7 Date Change
Because of the national holiday that falls on the third weekend, the February Series 7 exam session will be conducted February 11, 1989, at all locations except:
Atlanta, GA
Minneapolis, MN
Little Rock, AR
San Francisco, CA
Except for arbitration awards, which are publicly available, the documents and information in FINRA Dispute Resolution case files are confidential.
(a) Limitation on Distribution and Solicitation Activities
No covered member shall engage in distribution or solicitation activities for compensation with a government entity on behalf of an investment adviser that provides or is seeking to provide investment advisory services to such government entity within two years after a contribution to an official of the government entity is made by
Last modified: March 17, 2021
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• Branch Offices—Failure to Register
• Cheating, Using an Impostor, or Possessing Unauthorized Materials in Qualifications Examinations or in the Regulatory Element of Continuing Education
• Continuing Education (Firm Element)—Failure to Comply With Rule Requirements
• Continuing Education (Regulatory
IMPORTANT
PLEASE DIRECT THIS NOTICE TO ALL FINANCIAL AND OPERATIONAL OFFICERS AND PARTNERS
TO: All NASD Members and Other Interested Persons
In NASD Notice to Members 81-12, the Association advised the membership of the SEC's Division of Market Regulation interpretation concerning the treatment of concessions receivable and related commissions payable under the Uniform Net Capital Rule (SEC
IMPORTANT
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Interested Persons
LAST VOTING DATE IS APRIL 13, 1984
Attached is a proposed amendment to Article V, Section 1 of the Association's Rules of Fair Practice which has been approved by the Board of Governors for submission to the membership for a vote.
The proposed amendment to Article V, Section 1 of the Rules of Fair
<p>Member firms may pay retired registered representatives continuing commissions based on contributions to accounts established by the former representatives prior to retirement, provided the conditions of NASD IM-2420-2 are satisfied, and further, that such payments are made in compliance with SEC "no-action" letters addressing the permissibility of those payments under Section 15(a) of the Securities Exchange Act of 1934. Firms cannot pay retired registered representatives commissions based on activity in accounts established after the representatives' retirement.</p>
The purpose of this notice is to make sure you understand and agree to the Qualification Examinations Rules of Conduct for examinations administered in test centers or remotely. You are required to agree to all of the following Rules of Conduct before starting your examination.
Testing personnel are NOT authorized to grant exceptions to any of these rules.
Personal Items
I understand and
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members
On April 12, 1984, the SEC issued Release No. 34-20853 requesting public comments on the NASDAQ Options Program. The text of this release, together with a document which provides an overview of the NASDAQ Options Program and a fact sheet highlighting major features of the program, are enclosed with this notice.
The
