The use of negative response letters to change the broker-dealer of record on a mutual fund or variable insurance product account held directly at the issuer.
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved an amendment to Paragraph (b), Part VI,
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
The Department of Treasury (Treasury) recently asked the NASD to provide members with the Office of Foreign Assets Control's (OFAC) latest list of persons and entities
BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of investment professionals, brokerage firms and investment adviser firms.Where BrokerCheck Information Comes FromBoth brokerage firms and individuals must be registered with FINRA to conduct securities transactions and business with the investing public. Individuals might also be required to meet state
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
<p>Clarification of <i>NASD Notice to Members</i>
<i>94-44</i> to situations in which a dually registered person maintains discretionary trading authority, determines portfolio changes, and prepares trade instructions for customer accounts and charges the accounts an asset-based fee.<br/></p>
SUGGESTED ROUTING*
Corporate FinanceGovernment SecuritiesInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining
*These are suggested departments only. Others may be appropriate for your firm.
The NASD published the following Notices to Members during 1989. Duplicate copies are available at $15 per monthly issue.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 17, 1987, 17 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,775. These 17 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
2025 Holiday ScheduleWednesday, January 1, 2025New Year’s Day ObservationMonday, January 20, 2025Martin Luther King, Jr. DayThursday, January 9, 2025National Day of Mourning*Monday, February 17, 2025Presidents' DayFriday, April 18, 2025Good Friday (system closed)Monday, May 26, 2025Memorial DayThursday, June 19, 2025JuneteenthThursday, July 3, 2025Day before Independence Day (1 p.m. early
IMPORTANT
PLEASE DIRECT THIS NOTICE TO ALL SALES, COMPLIANCE AND CREDIT
TO: All NASD Members and Other Interested Persons
In Notice to Members 84-69, dated December 18, 1984, the NASD apprised the membership that the Comptroller of the Currency had issued notices concerning certain direct obligations that either may be worthless or have not been honored by a number of offshore bank licenses
