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Regulatory Notice 15-05
SEC Approves Consolidated FINRA Rule Regarding Background Checks on Registration Applicants
Testimony Before the Senate Committee on Banking, Housing and Urban Affairs Hearing on Money Laundering
On behalf of NASD, I would like to thank Chairman Sarbanes, Ranking Member Gramm, and the members of the Senate Banking Committee for this opportunity to testify.
Notice to Members 02-68
INFORMATIONAL SEC Approves Rule Change to IM-10100 Effective Date: On or After September 30, 2002 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Registered Representatives Registered Principals Senior Management Arbitration
Notice to Members 01-26
Executive Summary On February 27, 2001, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rule 2520 relating to margin requirements for day traders (the "amendments").1 The amendments become effective on September 28, 2001 and are substantially similar to amendments by the New York Stock Exchange (NYSE) to its
Notice to Members 99-57
Effective Date: July 19, 1999 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
Regulatory Notice 09-55
FINRA Requests Comments on Proposed New Rules Governing Communications with the Public
Notice to Members 98-52
Executive Summary On April 17, 1998, in Release No. 34-39883, the Securities and Exchange Commission (SEC) approved an amendment to National Association of Securities Dealers, Inc. (NASD®) Rule 3010 to require members to establish special supervisory procedures, including the tape recording of conversations, when they have hired more than a specified percentage of registered persons from certain
Notice to Members 98-42
Comment Period Expires: July 31, 1998 SUGGESTED ROUTING Legal & Compliance Executive Summary NASD Regulation, Inc. (NASD RegulationSM) requests comment on a series of National Association of Securities Dealers, Inc. (NASD®) rules that would authorize NASD Regulation Department of Enforcement staff,
Notice to Members 98-02
  SUGGESTED ROUTING Senior Management Internal Audit Legal & Compliance Operations Registration Training     Executive Summary     On December 19, 1997, the Securities and Exchange Commission (SEC or Commission) approved various amendments to the Rules of the National
Notice to Members 97-58
Comment Period Expires: October 31, 1997 SUGGESTED ROUTING   Senior Management Internal Audit Legal & Compliance Operations Registration Training Executive Summary NASD Regulation, Inc. (NASD RegulationSM)