Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, June 3, 1986, 25 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,385. These 25 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
To: All NASD Members and Other Interested Persons
COMMENT PERIOD CLOSES ON: AUGUST 17, 1984
The National Association of Securities Dealers, Inc. ("Association" or "NASD") is requesting comments on possible amendments to restrictions which apply to venture capital investments by NASD members and certain of their control persons. 1/ The proposed amendments, which are discussed
FINRA Announces Election Results for District Committees, District Nominating Committees and the National Adjudicatory Council
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on extensive amendments to Article III, Sections 1
Election Results for District Committees and District Nominating Committees
Application of Rules on Communications With the Public and Institutional Sales Material and Correspondence to Certain Free Writing Prospectuses
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests membership comment on a proposed Corporate Financing Rule that, if
Personnel Background Investigations
Regulatory Notice
Notice Type
Guidance
Referenced Rules & Notices
Article III, Sections 3 and 4 of the FINRA By-Laws
NASD Rule 3010(e)
NTM 97-19
NTM 05-39
NYSE Interpretation Handbook Rule 345.11/01
NYSE Rule 345.11
NYSE Rule 346b
Suggested Routing
Compliance
Executive Representatives
Human Resources
Legal
Operations
Principals
Registered
SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements
