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The NASD® published the following Notices to Members during 1992. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS SEPTEMBER 2, 1986.
Enclosed is a proposed new rule (attached as Exhibit I) that will amend Article III, Section 26 of the NASD Rules of Fair Practice by the addition of new subsection (m). Proposed new subsection (m) was approved by the NASD Board of Governors and now requires membership approval. If
Before you can buy a house, you will need to shop for—and qualify for—a home loan.
One financial institution described the metaverse as a “seamless convergence of our physical and digital lives, creating a unified, virtual community where we can work, play, relax, transact and socialize.”14 At least one prominent international body similarly expressed that the metaverse is not a single space, but rather, a “collection of shared digital spaces for real-time interaction and
ACTION REQUESTED
Public Information Review
Comment Period Expired: December 2, 2002
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Public Information Review
Effective: November 16, 1998
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Senior Management
Advertising
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Executive Summary
On August 26, 1998, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD®) Rule 2210 to require that written or electronic communications
<p>Application of Rule 2210 to the use of investment projections and marketing material when registered persons are conducting advisory services.</p>
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Executive Summary
In December 1997, NASD Regulation, Inc. (NASD RegulationSM) sent a compliance survey (Special Notice to Members 97-96) to find out the status of member firms' Year 2000 efforts. Member firms have the responsibility to determine the readiness of
SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule
