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Targeted Examination Letter on Establishing, Communicating and Implementing Cultural Values
Firm culture has a profound influence on how a broker-dealer conducts its business, including how it manages conflicts of interest.
Notice to Members 06-43
INFORMATIONAL NAC Nominees SUGGESTED ROUTING KEY TOPICS Legal and Compliance Senior Management National Adjudicatory Council Executive Summary The purpose of this Special Notice to Members is to announce the proposed nominees for the National Adjudicatory Council (NAC) from the New York and West Regions. The nominees, nominated for three-year terms beginning January 2007, are
Notice To Members 93-30
SUGGESTED ROUTING Senior ManagementInternal AuditLegal & ComplianceOperationsSystems Executive Summary On November 24, 1992, the Securities and Exchange Commission (SEC) adopted significant amendments to the Net Capital Rule, Rule 15c3-1. The changes to the minimum net capital requirements will take effect in three installments beginning July 1, 1993; other changes took
Notice to Members 05-54
INFORMATIONAL NAC Nominee SUGGESTED ROUTING KEY TOPICS Legal and Compliance Senior Management National Adjudicatory Council Executive Summary The purpose of this Special Notice to Members is to announce the nominee for the National Adjudicatory Council (NAC) from the North Region. The nominee, nominated for a three-year term
Notice to Members 01-13
REVISED — SUPERSEDES NTM 01-041 INFORMATIONAL Rules For Arbitrator Challenges Effective Date: March 8, 2001 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Registered Representatives Arbitration Arbitrator Challenges Executive Summary On December 8, 2000, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities
Notice to Members 05-12
GUIDANCEEligibility ProceedingsEffective Date: March 7, 2005SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesRegistered RepresentativesLegal & ComplianceSenior ManagementClerical and Ministerial ActivitiesMC-400 ApplicationRule 9520 Series—Eligibility ProceedingsRule 9522Statutory DisqualificationExecutive SummaryNASD's Rule 9520 Series sets forth NASD's
For Your Information - January 1997
Use Of National Association Of Securities Dealers, Inc., Parent And Subsidiary Logos In response to recent requests from member firms to use one of the corporate logo icons (logos) on their Web pages to indicate a link to one of the three corporate Web sites, this FYI is being issued to clarify the position of NASD Regulation, Inc. (NASD Regulation), the National Association of Securities
Notice to Members 04-41
INFORMATIONAL NAC Nominees SUGGESTED ROUTING KEY TOPICS Legal and Compliance Senior Management National Adjudicatory Council Executive Summary The purpose of this Special Notice to Members is to announce the nominees for the National Adjudicatory Council (NAC) from the Midwest and South Regions. The nominees, nominated for a
Notice to Members 03-73
INFORMATIONAL Online Comments SUGGESTED ROUTING KEY TOPICS Legal & Compliance Registered Representative Senior Management Notices to Members Public Access to Comments Requests for Comment Executive Summary NASD today announced that it is now making available on its Web Site comments filed in response to Notices
Trading Activity Fee Frequently Asked Questions
On This PageSection 100: GeneralSection 200: Equity and OptionsSection 300: DebtSection 400: FuturesGeneralQ100.1:  What is the Trading Activity Fee?A100.1: The Trading Activity Fee, or TAF, is one of the member regulatory fees FINRA assesses to recover the costs the supervising and regulating firms.  This includes costs associated with performing examinations, financial