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Notice to Members 97-31
SUGGESTED ROUTING Senior Management Legal & Compliance Registration Training Executive Summary Every person registered with a member of the NASD® must notify the NASD of his or her current mailing address. This obligation exists while a registrant is associated with any NASD member firm, and continues for as long as the NASD retains jurisdiction to bring a
The Helpline in Action
Overview FINRA launched the Helpline on April 20, 2015 to provide investors with access to specially trained FINRA staff who can assist senior and vulnerable adult investors with questions or concerns about their brokerage accounts and investments. As of December 31, 2019,5 the Helpline has received over 18,000 calls from all 50 states and several countries. Helpline callers range in age from 17
Notice to Members 99-86
INFORMATIONAL Imposition And Collection Of Monetary Sanctions SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Disciplinary Actions The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure. Executive Summary The purpose
Notice to Members 00-35
INFORMATIONAL Continuing Education SUGGESTED ROUTING KEY TOPICS Continuing Education/Testing/Qualifications Legal & Compliance Registration Senior Management Continuing Education Regulatory Element Notification Written Supervisory Procedures Executive Summary National Association of Securities Dealers, Inc. (NASD®) firms are reminded that the Web Central
Notice to Members 04-09
INFORMATIONALAmendments to Section 4 of Schedule A to the NASD By-LawsSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementForms U4 and U5Late FeesSection 4 of Schedule A to the NASD By-LawsExecutive SummaryThe Securities and Exchange Commission (SEC) has announced the immediate effectiveness of amendments to Section 4 of Schedule A to the NASD By-Laws
Regulatory Notice 12-10
FINRA Requests Comment on Ways to Facilitate and Increase Investor Use of BrokerCheck Information
Notice to Members 05-17
GUIDANCE Sanction Guidelines Effective Date: March 15, 2005 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Senior Management Registered Representatives NASD Sanction Guidelines Institutional Sales Material and Correspondence Telemarketing Research Analysts and Research Reports Executive Summary This Notice advises NASD members of modifications to the
Notice to Members 03-42
INFORMATIONAL Revised Forms U4 and U5 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registered Representatives Registration Senior Management Training Central Registration Depository Form U4 Form U5 Statutory Disqualification Executive Summary The Securities and Exchange Commission (SEC
Regulatory Notice - 11-07
FINRA Revises the Sanction Guidelines
Testimony Before the Committee on Financial Services Subcommittee on Investigations and Oversight
On behalf of the National Association of Securities Dealers ("NASD"), I want to thank the Committee for this opportunity to testify. My name is Daniel M. Sibears and I am a Senior Vice President and Deputy for Member Regulation at NASD in Washington, D.C.