INFORMATIONAL
Certificates of Deposit
Effective Date: October 8, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Trading
Operations
Senior Management
Certificates of Deposit
Executive Summary
NASD is issuing this Notice to supersede NASD Notice to Members 02-28 (Notice or Notice 02-28) and replace the guidance offered in Notice to
INFORMATIONAL
Anti-Money Laundering
Effective Date: Transactions After December 30, 2002
Draft Form SAR-SF; Comments Requested by: October 4, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Money Laundering
Suspicious Activity Reporting
Executive Summary
On October 26, 2001, President Bush signed into law
Good morning. Thank you for that introduction Louise [Guarneri], and thank you for inviting me to speak this morning.
INFORMATIONAL
Certificates Of Deposit
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Trading
Operations
Senior Management
Long-Term or Brokered Certificates of Deposit
Executive Summary
Members increasingly have been offering to customers a number of non-traditional certificate of deposit (CD) products. Typically, these products are
Effective Immediately
SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & Compliance
Executive Summary
The Securities and Exchange Commission (SEC) recently approved amendments to the Guidelines Regarding Communications With the Public About Collateralized Mortgage Obligations (CMO Guidelines) at Article III, Section 35 of the Rules of Fair Practice. The amendments add a
FINRA's Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced advertising professionals. Industry and Regulatory speakers will facilitate interactive, forward-looking discussions on current practices, policies, priorities and emerging regulation. This year’s conference also includes opportunities to networking with industry peers and meet one-on-
<p>Intersection between the NASD's Limit Order Protection Rule and Rule 206(3) of the Investment Advisors Act of 1940 for fee-based wrap accounts.</p><p> </p><p>[NASDAQ Staff Interpretive Letter]</p>
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. (
FINRA is issuing this Regulatory Notice to provide members an update on regulatory coordination efforts concerning compliance with CAT reporting rules (the “CAT compliance rules”). In particular, FINRA and the national securities exchanges, as CAT NMS Plan Participants, have entered into a Rule 17d-2 Plan and corresponding Regulatory Services Agreements (RSAs) to coordinate regulation of the CAT
TO: All NASD Members and Level 2 and Level 3 Subscribers
The Securities and Exchange Commission has approved amendments to Schedule D to the NASD's By-Laws with respect to reporting trades in NASDAQ National Market System (NASDAQ/NMS) securities.
Under the amendments, which become effective January 8, 1988, orders that are executed between 4 p.m. and 5 p.m., Eastern Time, are to be reported
