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Regulatory Notice 09-63
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Discretionary Accounts and Transactions
Notice To Members 92-5
SUGGESTED ROUTING:* Corporate FinanceGovernment SecuritiesInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining*These are suggested departments only. Others may be appropriate for your firm. The NASD published the following Notices to Members during 1991. Duplicate copies are available at $25 per monthly or special
Improving Examination Results - April 2002
October 2002 In an effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each firm must
Notice To Members 87-46
TO: All NASD Members and Other Interested Persons EXECUTIVE SUMMARY The Securities and Exchange Commission has approved amendments to its rules, to Schedule D to the NASD By-Laws, and to the NASD's Transaction Reporting Plan, which will have the effect of: (1) requiring NASDAQ/NMS companies to comply with certain standards of corporate governance; (2) moving NASDAQ/NMS designation criteria
Regulatory Notice 09-44
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Fidelity Bonds
Notice To Members 91-8
SUGGESTED ROUTING:* Corporate FinanceGovernment SecuritiesInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining*These are suggested departments only. Others may be appropriate for your firm. The NASD published the following Notices to Members during 1990. Duplicate copies are available at $25 per monthly or
Notice To Members 90-76
SUGGESTED ROUTING* Senior ManagementLegal & ComplianceOperationsRegistration *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The 1990-91 NASD broker-dealer and agent registration renewal cycle will begin in early November. This program allows for simplification of the renewal process through the payment of one invoice amount that
Amendments to FINRA Rule 4210: Covered Agency Transactions
In late May, certain amendments to FINRA's margin rule, Rule 4210, went into effect to address a significant source of potential systemic risk and risk to FINRA member firms. The amendments introduced specific margin requirements related to covered agency transactions. On this episode, we learn more about the purpose of the change and what firms need to think about to ensure compliance.
Notice To Members 89-59
SUGGESTED ROUTING* Senior ManagementCorporate FinanceInstitutionalSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY In a report titled "Clearance and Settlement Systems in the World's Securities Markets," a private-sector group published nine recommendations proposing standards for clearance and settlement of
Notice to Members 99-56
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts Executive Summary The new Internet-based