SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposal to add a new section to Part I of Schedule C to the
Summary
In April 2018, FINRA launched a retrospective review of the annual compliance meeting (ACM) requirement in Rule 3110(a)(7) and corresponding Supplementary Material .04 (SM .04), to assess its effectiveness and efficiency.1 The review is part of an ongoing initiative to periodically look back at a rule or set of rules to ensure they remain relevant and appropriately designed to achieve
SUGGESTED ROUTING*
Legal & ComplianceOperationsRegistrationTraining
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Schedule C to the NASD By-Laws that will require members to disclose to applicants for registration the specific purpose of any fees collected
ROUTE TO
Senior Management
Legal & Compliance
Operations
Registration
Other
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comment on a proposed amendment to Schedule C to the NASD By-Laws that would prohibit a person associated with a member from being
TO: All NASD Members and Other Interested Persons
The following are NASD Notices to Members issued during the first quarter of 1988. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed tos NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506.
Notice Number
Date
Topic
88-1
January 4, 1988
Proposed Amendments to
Summary
The purpose of this Election Notice is to (1) notify members of an upcoming election to fill two large firm seats and one mid-size firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional candidate on the ballot
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS DECEMBER 31, 1986.
EXECUTIVE SUMMARY
NASD members are invited to vote on proposed new Article III, Section 42 of the NASD Rules of Fair Practice. The proposed new rule would prohibit NASD members from effecting, directly or indirectly, over-the-counter transactions in a security as to which a trading
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The Congress has recently enacted legislation providing sanctions against certain transactions with South Africa or South African entities. This notice provides information relating to certain provisions of that Act which may relate to the business of NASD members.
On October 2, 1986, Congress enacted the Comprehensive Anti-
TO: All NASD Members and Other Interested Persons
ATTN: TRAINING DIRECTORS AND REGISTRATION PERSONNEL
The Qualifications Committee of the NASD Board of Governors is pleased to announce that starting on August 1, 1986, the Financial and Operations Principal Examination (Series 27) will be administered on the PLATO system. Currently, Series 27 is administered as a written examination on the third
Summary
The purpose of this Notice is to inform small FINRA member firms1 of the upcoming Small Firm Advisory Committee (SFAC) election. Two seats on the SFAC are up for election, one representing the South region and one representing the Midwest region.
The SFAC provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives
