SUGGESTED ROUTING*
Senior ManagementLegal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has approved amendments to the NASD Code of Procedure that make two changes in the Code to the disciplinary process that reduce the burden that this process imposes on the National
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceOperationsOptionsTrading*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
Members are invited to vote on proposed amendments creating a separate section in the NASD's Rules of Fair Practice relating to options communications with the public. The
529 Plans
Regulatory Notice
Notice Type
Guidance
Suggested Routing
Compliance
Legal
Registered Representatives
Senior Management
Key Topics
529 Plans
Share Classes
Suitability
Supervision
Referenced Rules & Notices
Comment Period Expires: October 15, 1997
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Mutual Fund
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on appropriate regulation regarding the participation by members and their associated persons in
GUIDANCE
Correspondence
SUGGESTED ROUTING
KEY TOPICS
Advertising
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Correspondence
Rule 2211
Executive Summary
On July 26, 2006, the Securities and Exchange Commission (SEC)
approved amendments to NASD Rule 2211, which governs NASD
member institutional sales material and
FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council decisions and decisions of the SEC in FINRA cases).
Notice of SFAB Election and Ballots
This Special Notice to Members provides guidance to members in filling out the Interim Forms U-4 and U-5, which become effective on March 16, 1998, and in understanding what information NASD Regulation, Inc., will release as part of its Public Disclosure Program. This guidance will be updated and supplemented as necessary and can be found at the NASD RegulationSM Web Site at www.nasdr.com.
The
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Systems
Trading
Executive Summary
The NASD® is publishing a direct participation program (DPP or limited partnership) directory in anticipation of the quotation of DPP securities on the OTC Bulletin Board® Service (OTCBB®) and the commencement of trade reporting of transactions in DPPs on May 15,
GUIDANCE
Options Position and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Options
Senior Management
Trading
Training
Exercise Limits
Options
Position Limits
Rule 2860
Executive Summary
On January 25, 2007, NASD filed for immediate effectiveness with
the Securities and Exchange Commission (SEC) amendments to
Rule 2860 extening until
