Changes to Advertising, Corporate Financing, New Membership and Continuing Membership Application, Central Registration Depository and Branch Office Annual Registration Fees
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On November 24, 1992, the Securities and Exchange Commission (SEC) announced the adoption of amendments to its Net Capital Rule, Rule 15c3-1 (Rule). Except for the minimum increases scheduled to
REQUEST FOR COMMENT
Trading Activity Fee
Comment Period Expires October 31, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations Managers
Senior Management
NASD By-Laws
Trading Activity Fee
Executive Summary
NASD is issuing this Notice to Members to solicit comments from
members on possible changes to the Trading Activity Fee (TAF). In
2003, the Securities and Exchange
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
The Securities and Exchange Commission (SEC) has approved amendments, effective March 8, 1994, to remove the member vote requirement for adoption of, or amendment to, the Rules of Fair Practice, to incorporate Appendices A, B, C, E, and F into Sections 30 through 34 of the Rules of Fair Practice, and to
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceMutual FundTraining
Executive Summary
The NASD reminds members of their obligations under the Rules of Fair Practice with respect to mutual fund sales practices. Members and their associated persons must ensure that their communications with customers (both oral and written) are accurate and complete regarding disclosure of
SEC Approves Amendments to FINRA Rule 2210 to Exclude Research Reports on Exchange-Listed Securities From Filing Requirements and Clarify the Standards Applicable to Free Writing Prospectuses
Remarks from the CCOutreach BD National Seminar, as prepared for delivery.
Monthly Disciplinary Actions January 2018
TO: All NASD Members and Other Interested Persons
The following are NASD Notices to Members issued during the fourth quarter of 1986, and the first and second quarters of 1987. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506
Fourth Quarter—1986
Notice Number
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council Petitions for Candidacy Due: September 16, 2013
