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Frequently Asked Questions about the 2001 Amendments to Broker-Dealer Books and Records Rules Under the Securities Exchange Act of 1934
On October 25, 2001, the SEC adopted amendments to Rules 17a-3 and 17a-4. The purpose of this Notice is to address some frequently asked questions about the SEC requirements.
Notice To Members 87-82
TO: All NASD Members and Municipal Securities Bank Dealers FROM: All Operations Personnel Securities markets and the NASDAQ System will be closed on Friday, December 25, 1987, Christmas Day, and Friday, January 1, 1988, New Year's Day. "Regular way" transactions made on the preceding business days will be subject to the settlement date schedule listed below. Trade Date-Settlement
Outside Business Activities and Private Securities Transactions
The Outside Business Activities and Private Securities Transactions topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
Regulatory Notice 11-18
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Notice To Members 87-17
TO: All NASD Members and Level 2 and Level 3 Subscribers On Tuesday, March 17, 1987, 20 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,802. These 20 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
Notice To Members 88-84
SUGGESTED ROUTING*Senior ManagementLegal & ComplianceOperationsRegistrationTradingTraining*These are suggested departments only. Others may be appropriate for your firm.EXECUTIVE SUMMARYOn October 13, 1988, the Securities and Exchange Commission approved amendments to Article III, Section 27 of the Rules of Fair Practice and conforming amendments to Article I of the By-Laws and Schedule C
Notice To Members 86-43
TO: All NASD Members and Level 2 and Level 3 Subscribers On Tuesday, June 17, 1986, 10 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,398. These 10 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
Notice To Members 93-76
Last Voting Date: December 31, 1993 SUGGESTED ROUTING Senior ManagementAdvertisingCorporate FinanceGovernment SecuritiesLegal & 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 83-61
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel Securities markets and the NASDAQ System will be closed on Thursday, November 24, Thanksgiving Day; Monday, December 26, Christmas Day Observance; and Monday, January 2, 1984, New Year's Day Observance. "Regular Way" transactions made on the preceding business days will be subject to the
Notice To Members 85-53
TO: All NASD Members and Level 2 and Level 3 Subscribers On Tuesday, August 20, 1985, 22 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 2,091. These 22 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary