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Notice to Members 96-66
Executive Summary The Government Securities Act Amendments of 1993 (GSAA) eliminated the statutory limitations on NASD® authority to apply sales-practice rules to transactions in exempted securities, including government securities, other than municipals. On August 20, 1996, the Securities and Exchange Commission (SEC) approved amendments implementing the expanded sales-practice authority
Notice To Members 93-5
SUGGESTED ROUTING Senior ManagementCorporate FinanceGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining The NASD® published the following Notices to Members during 1992. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of
Interpretive Letter to Name Not Public
<p>Application of NASD Rule 2830(l)(5)(D) to sales contests involving sales personnel who perform marketing services.<br/></p>
Notice to Members 99-59
NASD Will No Longer Impose Censures For Some Violations Suggested Routing Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal &amp; Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate
Notice to Members 99-43
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal &amp; Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts Executive Summary In Notice to Members 99-
Regulatory Notice 21-44
Summary In February 2019, FINRA published Regulatory Notice 19-06, launching a retrospective review of Rule 4370 (Business Continuity Plans and Emergency Contact Information) to assess its effectiveness and efficiency (the BCP Rule Review). The COVID-19 pandemic, beginning in early 2020, caused unprecedented regulatory and operational impacts on member firms and other market participants, as
Regulatory Notice - 13-09
SEC Approves Amendments to Establish Two Optional TRACE Data Delivery Services and Related Fees
Frequently Asked Questions about Derivatives and Other Off-Balance Sheet Items (OBS)
Q1. Is a firm required to report on the OBS the market value of underwriting commitments entered into on a “best efforts” basis? A1. No. Underwriting commitments entered into on a “best efforts” basis are not required to be reported on the OBS. Q2. If a member firm enters into an agreement with a customer or other party, whereby it commits to lend up to a specified dollar amount, whether such
Monthly Disciplinary Actions - June 2025
FINRA disciplinary actions for the month of June 2025. See which firms and individuals were fined, suspend or barred. Learn how to stay compliant.
Notice to Members 98-83
Effective: November 16, 1998 SUGGESTED ROUTING Senior Management Advertising Legal &amp; Compliance Registered Representatives Training Executive Summary On August 26, 1998, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD®) Rule 2210 to require that written or electronic communications