TO: All NASD Members and Other Interested Persons
ATTN: REGISTRATION, TRAINING AND COMPLIANCE PERSONNEL AND BRANCH OFFICE MANAGERS
The recently enacted Tax Reform Act of 1986 (the "Act") will impact the subject matter of the qualification examinations administered by the NASD. Existing test items affected by these changes will be modified to reflect the new provisions of the Act on
To: All NASD Members and Other Interested Persons
COMMENT PERIOD CLOSES ON: AUGUST 17, 1984
The National Association of Securities Dealers, Inc. ("Association" or "NASD") is requesting comments on possible amendments to restrictions which apply to venture capital investments by NASD members and certain of their control persons. 1/ The proposed amendments, which are discussed
FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
SEC Approves Amendments to Arbitration Codes to Provide an Additional Hearing Option in Simplified Arbitration
TO: All NASD Members and Other Interested Persons
On February 15, 1985, the NASD issued Notice to Members 85-12 discussing members' obligations in handling limit orders in over-the-counter securities.* That notice suggested that each member review its policies and procedures for handling limit orders and take steps to assure that salespeople, customers, and other members understand the way
Comments on Regulatory Notice 22-08 I am a self-directed retail user of investing products that is approaching retirement. I do not have a finance background per se, but I have a PhD in engineering with a career revolving around probabilistic risk assessment, and financial concepts translate well. I am not necessarily representative of the “typical” self-directed investor that the regulatory
TO: All NASD Members and Other Interested Persons
ATTN: Syndicate Department
On October 1, 1985, the NASD adopted Section 66 to its Uniform Practice Code requiring syndicate managers to settle syndicate accounts within 120 days of the date securities are delivered by the issuer to or for the account of syndicate members. At that time, the NASD stated its intention to review members'
(a) Fees for Claims Filed by Customers, Associated Persons and Other Non-Members
(1) Customers, associated persons, and other non-members who file a claim, counterclaim, cross claim or third party claim must pay a filing fee in the amount indicated in the schedule below.
Filing Fees for Claims Filed by Customers, Associated Persons,
and Other Non-Members
Amount
(a) Filing Requirements
Each member that sells a security in a non-public offering in reliance on an available exemption from registration under the Securities Act ("private placement") must: (i) submit to FINRA, or have submitted on its behalf by a designated member, a copy of any private placement memorandum, term sheet or other offering document, and any retail communication (as
Sec. 8.2 (a) A district within its respective region, as established under Section 8.1, shall elect no fewer than six Regional Committee members to serve on the Regional Committee for its respective region, unless otherwise provided by resolution of the Board. A Regional Committee shall consist of no fewer than five and no more than 20 members, unless otherwise provided by resolution of
