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Notice To Members 85-27
IMPORTANT OFFICERS, PARTNERS AND PROPRIETORS TO: All NASD Members and Other Interested Persons The Securities and Exchange Commission has approved a recodification of the NASD By-Laws 1/ and a revised Code of Procedure. 2/ The text of these amendments, which were effective upon approval by the Commission, 3/ is attached. Over the past several years, the Association's Ad Hoc Committee on
Information Notice – 3/26/20
Summary As work processes adjust in response to COVID-19, firms and their associated persons should take appropriate measures to address increased vulnerability to cybersecurity attacks and to protect customer and firm data on firm and home networks, as well as devices. This alert provides firms and associated persons with measures they may use to help strengthen their cybersecurity controls in
Notice To Members 88-32
TO: All NASD Members and Other Interested Persons EXECUTIVE SUMMARY The Securities and Exchange Commission recently approved an amendment to the Interpretation of the Board of Governors—Review of Corporate Financing, under Article III, Section 1 of the NASD Rules of Fair Practice. The amendment, which becomes effective June 1, 1988, requires a qualified independent underwriter to provide a
FINRA Campaign Urges New Investors to Take Key Steps Before Trading
FINRA has launched an online advertising campaign, Get Your Head in the Trade, encouraging new investors to understand investment risks and rewards as well as their own financial goals and risk tolerance before making an investment decision.
Interpretive Letter to Eileen Ryan, Esq., Securities Industry Association, and Sarah Starkweather, Esq., The Bond Market Association
NASD Rule 2211 - Institutional Sales Material and Correspondence</p>Free writing prospectuses are not subject to Rules 2210 and 2211 or the filing requirements of Rules 2710 and 2720
Notice To Members 93-76
Last Voting Date: December 31, 1993 SUGGESTED ROUTING Senior ManagementAdvertisingCorporate FinanceGovernment SecuritiesLegal &amp; ComplianceMutual Fund Executive Summary The NASD invites members to vote on an amendment to Article III, Section 35(c) of the Rules of Fair Practice that would require a member using mutual fund rankings in advertisements or sales literature to
Notice to Members 04-91
GUIDANCEFees for Filing Documents Pursuant to Rule 2710 (Corporate Financing Rule–Underwriting Terms and Arrangements)Implementation Date: January 1, 2005SUGGESTED ROUTINGKEY TOPICSLegal &amp; ComplianceRegistered RepresentativesSenior ManagementCorporate Financing DepartmentCorporate Financing FeesRule 2710&nbsp;(Corporate FinancingRule–Underwriting Terms and Arrangements)Schedule A to
Notice To Members 88-11
TO: All NASD Members and Other Interested Persons LAST DATE FOR COMMENT: MARCH 1, 1988. EXECUTIVE SUMMARY The NASD requests comments on proposed amendments to Article HI, Section 27 of the NASD Rules of Fair Practice that would (1) prescribe specific supervisory practices and procedures for all member firms and (2) revise the definitions of "office of supervisory jurisdiction" (OSJ)
Notice to Members 99-85
ACTION REQUIRED Renewal fees for the year 2000 for all participating regulators are due NO LATER than December 10, 1999. Broker/Dealer And Agent Renewals SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal &amp; Compliance Operations Registered Representatives Registration Senior Management Registration Renewals Web CRD The Suggested Routing function is meant to aid
SEA Rule 17a-11 and Related Interpretations
Publication Date: February 23, 2023 Interpretations are marked in blue background beneath the rule text to which they relate. 17a-11 Notification provisions for brokers and dealers. This section applies to the following types of entities: Except as provided in this introductory text, a broker or dealer, including an OTC derivatives dealer as that term is defined in § 240.3b-12, registered