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Notice to Members 06-45
GUIDANCE Correspondence SUGGESTED ROUTING KEY TOPICS Advertising Executive Representatives Legal & Compliance Registered Representatives Senior Management Correspondence Rule 2211 Executive Summary On July 26, 2006, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 2211, which governs NASD member institutional sales material and
Notice to Members 04-72
GUIDANCE Transfers of Mutual Funds and Variable Annuities SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Senior Management Broker-Dealer of Record Customer Account Transfers Mutual Funds Negative Response Letters Rule 2110 Variable Annuities Executive Summary In September 2002, NASD issued
Regulatory Notice 14-10
SEC Approves New Supervision Rules
Interpretive Letter to Name Not Public
<p>NASD IM-2420-2 - Continuing Commissions Policy</p>
Notice To Members 88-51
ROUTE TO Senior Management Legal &amp; Compliance Registration Training EXECUTIVE SUMMARY The NASD has amended its By-Laws to require that members register with the NASD all branch offices located outside the United States. Article I, Section (c) of the NASD By-Laws defines the term
Notice to Members 07-01
GUIDANCE Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2007 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal &amp; Compliance Operations Registered Representative Registration Senior Management IARDSM Maintenance Fees Registration Renewals Web CRD®
Notice To Members 91-82
SUGGESTED ROUTING:* Senior ManagementLegal &amp; Compliance*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The NASD, on the recommendation of its Legal Advisory Board (LAB), has undertaken a reorganization of the NASD Manual in order to make the Manual easier to use. As a first step in the Manual revision project, the LAB proposed an
Election Notice - 10/23/2023
Executive Summary The purpose of this Election Notice is to notify FINRA small firm members of the Small Firm Advisory Committee (SFAC) election and the distribution of ballots. Two seats on the SFAC are up for election, one representing the Midwest region and one representing the South region. FINRA small firm members1 in those regions as of the close of business on Friday, October 20, 2023,
Election Notice - 1/10/2025
The purpose of this Election Notice is to notify FINRA large and small member firms of contested elections for a large firm seat and a small firm seat on the National Adjudicatory Council (NAC) and the distribution of ballots.
Information Notice - 12/14/10
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act