TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JULY 22, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Article III, Section 35(d)(2)(D) relating to testimonials used in members' communications with the public. The amendment would conform the NASD rule to that of the New York Stock Exchange.
The text of the proposed amendment is
(a) Each member shall maintain the following information:(1) for each account: (A) customer's name and residence;(B) whether customer is of legal age;(C) name(s) of the associated person(s), if any, responsible for the account, and if multiple individuals are assigned responsibility for the account, a record indicating the scope of their responsibilities with respect to the account
FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities
INFORMATIONAL
Disciplinary Decisions
Effective Date: July 10, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Disciplinary Decisions
Interpretive Material 8310-2
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) publishes disciplinary decisions that meet certain criteria; these criteria are outlined in
SEC Approves Access to Historic TRACE Data and Related Fees
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-
.
Extended Hours Trading Risk Disclosure
Regulatory Notice
Notice Type
Guidance
Suggested Routing
Advertising
Compliance
Institutional
Legal
Operations
Options
Registered Representatives
Risk
Senior Management
Trading
Training
Key
The NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc., has filed with the SEC a proposed rule change to amend the Code of Arbitration Procedure ("Code") to simplify or clarify several fee-related provisions of the Code.
FINRA Requests Comment on the Reduction of the Delay Period for Historic TRACE Data
FINRA announced today that it has appointed Julie Glynn and Tina Gubb as Senior Vice Presidents of Enforcement. Gubb’s appointment is effective July 22, while Glynn’s appointment is effective in September. Both will report to Bill St. Louis, Executive Vice President and Head of Enforcement at FINRA.
