SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
SUMMARY
In response to a request by the Association, the staff of the SEC's Division of Market Regulation has issued its views on frequently raised interpretive questions
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JANUARY 5, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article II, Sections 3, 4 and 5 of the NASD By-Laws. The amendments would require controlling persons of a firm liquidated under the Securities Investor Protection Act of 1970 (SIPA) to undergo eligibility proceedings pursuant to the
Executive Summary
NASD is concerned about the number of increasingly complex products that are being introduced to the market in response to the demand for higher returns or yield. Some of these products have unique features that may not be well understood by investors or registered persons. Others raise concerns about suitability and potential conflicts of interest. While NASD has and will
ACTION REQUIRED
Electronic Communications Networks
Changes Effective: November 10, 2003
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Senior Management
Transaction Reporting
Electronic Communication Networks
Executive Summary
NASD is issuing this Notice to replace and
See Nasdaq Head Trader Alert 2003-140 at: www.nasdaqtrader.com/dynamic/newsindex/headtraderalerts_2003.stm
ACTION REQUIRED
Electronic Communications Networks
Changes Effective: October 6, 2003
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Senior Management
Transaction Reporting
INFORMATIONAL
Registration Rules
Effective: Immediately
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Principals
Registration
Registered Representatives
Senior Management
Training
Registration Rules
Executive Summary
On February 26, 2003, NASD filed with the Securities and Exchange Commission
FINRA takes disciplinary actions against firms and individuals for violations of NASD rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board.
REQUEST FOR COMMENT
Investment Analysis Tools
Comment Period Expires: September 13, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Senior Management
Investment Analysis Tools
Rule 2210
Executive Summary
NASD Rule 2210(d)(2)(N) prohibits NASD member firms from making predictions or projections of investment results to the
