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Notice to Members 05-15
INFORMATIONAL District Elections SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registration Senior Management District Elections Executive Summary Through this Notice, NASD announces the results of the contested election for membership on the District Committee for District 1. Four candidates were seeking to fill the three open seats on the District Committee
Interpretive letter to Joan E. Boros, Esq., Stradley Ronon Stevens & Young, LLP
A member firm may include related performance information in institutional communications concerning variable contracts, subject to the stated conditions discussed in the letter.
Investors Exchange Registration-OATS Impacts
Pending SEC approval, Investors' Exchange LLC will be operating as the stock exchange, Investors Exchange.
Notice to Members 05-76
INFORMATIONAL SUGGESTED ROUTING KEY TOPICS Executive Representatives Senior Management NASD Board of Governors Executive Summary The Annual Meeting of NASD members will be held on February 3, 2006. The formal notice of the meeting, including the precise time and location, will be mailed on or about December 29, 2005. The individuals nominated by the NASD National
Election Notice - 10/17/12
Notice of FINRA Small Firm Advisory Board Election and Ballots
Election Notice – 10/14/15
Notice of SFAB Election and Ballots
OATS Compliance Daily Report Card
The Daily Total Summary Data and Detail Data Download files for the OATS Compliance Report Card provide underlying totals and detail of the data contained in the monthly summary OATS Compliance Report Card. The tables below represent the data within the Daily Totals Summary Report Card and the Detail Data Download files. Summary Definitions and Data Fields Term
Interpretive Letter to Clair Pagnano, K&L Gates LLP
A member firm may include related performance information in institutional communications concerning continuously offered closed-end funds, subject to the stated conditions discussed in the letter.
Notice to Members 02-79
Board Elections SUGGESTED ROUTING KEY TOPICS Executive Representatives Board Elections     The Annual Meeting of Members of NASD will be held on December 5, 2002, at 11:00 am, at the NASD Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to conduct the election of Governors to
Notice to Members 99-62
Nominees For District Committees And District Nominating Committees Suggested Routing Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research