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Notice To Members 93-15
Last Voting Date: April 23, 1993" SUGGESTED ROUTING Senior ManagementLegal & Compliance Executive Summary The NASD invites members to vote on a proposed amendment to the NASD By-Laws and Rules of Fair Practice to make all rule approval procedures under the NASD's By-Laws uniform (presently some need only Board approval; others need full membership approval) and to
Report From FINRA Board of Governors Meeting – July 2023
Board Re-Elects Chair, Re-Appoints Public Governors, and Approves Three Rulemaking Items WASHINGTON—FINRA’s Board of Governors met on July 12-13 for the third time in 2023. During the meeting, the Board re-elected Eric Noll as Board Chair, re-appointed three public governors and approved three rulemaking items. The Board also continued its engagement with key stakeholders, hearing from
Notice to Members FYI June 1997
For Your Information
Information Notice - 6/6/11
FINRA Encourages Firms to Make Reasonable Efforts to Assist Investment Advisers Seeking Information Pursuant to Rule 206(4)-5 Under the Investment Advisers Act of 1940
Notice to Members 00-75
INFORMATIONAL Continuing Education SUGGESTED ROUTING KEY TOPICS Continuing Education Testing/Qualifications Legal & Compliance Senior Management Continuing Education Firm Element Executive Summary The Securities Industry/Regulatory Council on Continuing Education (Council) has issued a Firm Element Advisory, a guide for firms to use when developing their
Regulatory Notice 16-05
SEC No-Action Guidance on Electronic Filing of Broker-Dealer Annual Reports
Information Notice – 05/06/22
March 2022 Options Disclosure Document
Interpretive Letter to Lawrence Cohen, Gordon Rees Scully Mansukhani, LLP
Representations under Rules 5130 and 5131 may be obtained electronically through a mobile application, provided that the method for obtaining representations complies with SEC and FINRA guidance regarding the use of electronic communications, and the representations satisfy the requirements set forth in Rules 5130 and 5131. December 11, 2017 Lawrence Cohen Of Counsel Gordon Rees Scully
Notice to Members 03-38
INFORMATIONAL Advertising Modernization SUGGESTED ROUTING KEY TOPICS   Advertising Internal Audit Investment Companies Legal & Compliance Registered Representatives Senior Management Variable Contracts   Advertising Communications with the Public NASD Rule 2210 Executive
SR-NASD-2002-012
NASD Regulation, Inc., has filed with the SEC a proposed rule change to require, as part of a subordination agreement, the execution of a Subordination Agreement Investor Disclosure Document ("Disclosure Document").