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Testimony Before the Financial Services Committee
As the world’s largest securities self-regulatory organization, NASD has been helping to bring integrity to the markets and confidence to investors for more than 60 years.
Notice to Members 02-52
REQUEST FOR COMMENT Branch Office Definition Comment Period Expires: September 20, 2002 SUGGESTED ROUTING KEY TOPICS CRD Legal & Compliance Member Regulation Operations Senior Management Branch Office Definition Rule Modernization Rule 3010(g)(2) Executive Summary NASD requests comment from members, investors, and other interested parties on proposed
Notice to Members 03-69
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
Notice to Members 03-55
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
Regulatory Notice 16-09
FINRA Requests Comment on Proposed Amendments to FINRA Rules to Support the Industry Initiative to Shorten the Settlement Cycle for Securities in the U.S. Secondary Market From T+3 to T+2
VIII. Quality of Markets [Version up to February 28, 2019]
•   Extended Hours Trading Risk Disclosure—Failure to Comply With Rule Requirements •   Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements •   Backing Away •   Best Execution—Failure to Comply With Requirements for Best Execution •   ECN Display Rule—Failure to Comply
1220. Registration Categories
(a) Definition of Principal and Principal Registration Categories(1) Definition of PrincipalA "principal" is any person associated with a member, including, but not limited to, sole proprietor, officer, partner, manager of office of supervisory jurisdiction, director or other person occupying a similar status or performing similar functions, who is actively engaged in the management of
Notice to Members 97-42
SUGGESTED ROUTING Senior Management Legal & Compliance Registration Executive Summary On April 22,1997,the Securities and Exchange Commission (SEC) approved amendments to the Interpretation on the Release of Disciplinary Information (NASD® IM-8310-2).These amendments authorize the release of public information on disciplinary complaints and non-final disciplinary
Regulatory Notice 10-57
Funding and Liquidity Risk Management Practices
Regulatory Notice 12-29
SEC Approves New Rules Governing Communications With the Public