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Notice to Members 01-64
INFORMATIONAL NAC Nominees SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management National Adjudicatory Council Executive Summary The purpose of this Special Notice to Members is to announce the nominees for the National Adjudicatory Council (NAC) for the West Region and New York Region. The nominees, nominated for two-year terms beginning in
Interpretive Letter to Kathleen H. Moriarty, Esq., Carter, Ledyard & Milburn
<p>Secondary market trading in ETF Advisors Trust shares does not violate NASD Rules 2830, 2110 or 2420.</p>
Regulatory Notice 08-49
Effective November 11, 2008, the requirements in NASD Interpretive Material (IM) 2110-2 (Trading Ahead of Customer Limit Order) apply to over-the-counter (OTC) equity securities, as defined in NASD Rule 6610(d).
Notice to Members 01-47
Note: The effective date for amendments to Rule 3340 (prohibiting the publication of quotations and indications of interest during a trading halt) has been delayed until October 9, 2001 to allow members more time to modify their systems. INFORMATIONAL Publication Of Quotations; Indications Of Interest SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal &amp;
Notice to Members 99-39
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal &amp; Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts Executive Summary The National Association
Remarks by Chairman and CEO Rick Ketchum From the Fordham University Ethics and Regulatory Conference
Thank you, Steve [Freedman] for that introduction. And thank you to Fordham's College of Business Administration for organizing this conference and inviting me to speak. I'd like to acknowledge a good friend, John Tognino, who I know is a highly valued member of the Fordham community.
Notice To Members 91-20
SUGGESTED ROUTING:* Senior ManagementInternal AuditLegal &amp; Compliance*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission (SEC or "the Commission") has issued Release No. 34-28927, adopting amendments to Rule 15c3-1 (the "Rule") with respect to withdrawals of net capital. The
Notice to Members 98-24
SUGGESTED ROUTING Corporate Finance Government Securities Internal Audit Legal &amp; Compliance Municipal Mutual Fund Operations Options Registration Research Syndicate Systems Trading Training Variable Contracts The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1997. Duplicate copies are available for $
Notice To Members 87-8
TO: All NASD Members and Other Interested Persons EXECUTIVE SUMMARY The U.S. Department of the Treasury recently adopted regulations under the South African Sanctions Act. The provisions of the Act were the subject of NASD Notice to Members 86-76. This notice provides information relating to the new investment provisions of the Act which became effective on November 16, 1986. The full text of
Notice to Members 99-03
Effective March 15, 1999 SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal &amp; Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research