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Notice to Members 02-03
ACTION REQUIRED Broker/Dealer, Investment Adviser, And Agent Renewals SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Registered Representatives Registration Senior Management Registration Renewals Web CRD Web IARD Executive Summary The 2002 Renewal Program for the National Association of Securities Dealers, Inc. (NASD®)
Interpretive Letter to Craig P. Hoffman, Esq., APM, American Retirement Association, Chris DeGrassi, National Tax-deferred Savings Association, and Richard K. Matta, Esq., Groom Law Group
A member firm that provides services to Non-ERISA Plan participants and beneficiaries may rely on the filing exclusions contained in Rule 2210(c)(7)(B) and (C) in preparing and distributing a “Model Disclosure” as described in the letter, subject to the stated conditions and obligations discussed in the letter.
Notice to Members 01-52
INFORMATIONAL Registration Requirements Effective Date: September 17, 2001 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Senior Management Limited Principal—Financial and Operations Limited Principal—Introducing Broker/Dealer Financial and Operations Executive Summary On May 21, 2001, the Securities and Exchange
Notice to Members 02-04
INFORMATIONAL Subordination Agreements SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Senior Management Appendix D to the Net Capital Rule Net Capital Operations Subordination Agreements Subordinated Loans Executive Summary NASD Regulation, Inc. (NASD RegulationSM) is proposing a rule requiring National Association of
Estate Planning: Power of Attorney
Powers of attorney can be a helpful way to prepare for the future, but many factors will determine the type of power of attorney you need and whether it will hold up when it needs to.
Notice to Members 02-05
INFORMATIONAL FOCUS Reporting SUGGESTED ROUTING KEY TOPICS Executive Representatives Internal Audit Legal & Compliance Operations Senior Management Financial Accounting Standards Board FOCUS Reports Executive Summary The National Association of Securities Dealers, Inc. (NASD®) has modified the FOCUS Report to include disclosure, pursuant to Financial
Notice to Members 01-53
INFORMATIONAL Subordination Agreements SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Senior Management Broker/Dealer Financial and Operations Executive Summary On April 26, 2001, NASD Regulation, Inc. (NASD RegulationSM) staff reported to the Board of Directors that it would: (1) discontinue publishing the "
Name Not Public
Exemptive relief is denied based on: Firm D was subject to a ban that was discernible via a review of publicly available Forms G-37 which disclosed that a PAC controlled by Firm D or a Firm D MFP made political contributions to the Issuer Officials; Firm D had a long history of making contributions to the Issuer Officials; the ban attached to Firm A upon completion of the acquisition of Firm D; neither Firm A nor Firm D attempted to obtain refunds of the contributions; Firm A’s proposed supervisory systems are not adequate to address regulatory concerns presented.
Notice to Members 02-06
INFORMATIONAL Trade Date — Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date—Settlement Date Schedule Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule The Nasdaq Stock Market® and the securities exchanges will be
Information Notice – 3/15/16
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act