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Notice to Members 02-40
REQUEST FOR COMMENT Best Execution Comment Period Expires on: August 9, 2002 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Market Making Operations Registered Representatives Senior Management Trading Best Execution Executive Summary NASD requests comment from members, investors, and other interested parties on proposed amendments to NASD Rule 2320(a) (
2241. Research Analysts and Research Reports
(a) Definitions For purposes of this Rule, the following terms shall be defined as provided. (1) "Emerging Growth Company" has the same meaning as in Section 3(a)(80) of the Exchange Act. (2) "Equity security" has the same meaning as defined in Section 3(a)(11) of the Exchange Act. (3) "Independent third-party research report" means a third-party research report
Notice to Members 01-79
INFORMATIONAL Selling Away And Outside Business Activities SUGGESTED ROUTING KEY TOPICS Executive Representatives Insurance Legal & Compliance Operations Registered Representatives Senior Management Outside Business Activities Private Securities Transactions Promissory Notes NASD Rule 3030 NASD Rule 3040 Supervision Executive Summary NASD Regulation, Inc. (
Interpretive Letter to Name Not Public
<p>Letter addresses circumstances under which persons must report events involving a fixed annuity insurance product.</p>
Notice to Members 01-35
ACTION REQUESTED Rule Modernization Project Comment Period Expires: July 2, 2001 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal &amp; Compliance Senior Management Rule Review Rule Modernization Executive Summary Over the past several years, NASD Regulation, Inc. (NASD Regulation) has conducted a comprehensive review of many of the National
Notice to Members 01-45
ACTION REQUESTED Required Disclosures For Securities Recommendations Comment Period Expires August 15, 2001 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal &amp; Compliance Operations Senior Management Analyst Disclosures Communication With The Public Executive Summary NASD Regulation, Inc. (NASD RegulationSM) requests comment from National
Trade Reporting Frequently Asked Questions
The guidance provided in this FAQ pertains to the reporting of over-the-counter (OTC) transactions in equity securities to a FINRA Facility (a Trade Reporting Facility (TRF), the Alternative Display Facility (ADF) or the OTC Reporting Facility (ORF)).
Notice to Members FYI July 2001
Financial Payments
The Neutral Corner - Volume 3—2022
The Neutral Corner - Volume 3—2022
Regulatory Notice 19-35
Summary The 2020 Renewal Program begins on November 11, 2019, when FINRA makes the Preliminary Statements available to all firms in E-Bill. Preliminary Statements are not mailed to firms. Firms should note the following key dates in the renewal process: October 21, 2019 Firms may begin submitting post-dated Form U5 and BR Closing/Withdrawal filings via Web CRD/IARD.