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Testimony Before the Finance and Hazardous Materials Subcommittee of the Commerce Committee
The NASD would like to thank the Subcommittee for this opportunity to testify on organized crime in the securities markets, the scope of the problem and our efforts to address it.
Notice To Members 88-93
SUGGESTED ROUTING* Senior ManagementInstitutionalInternet AuditLegal & ComplianceOperationsTradingTraining *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY NASD members are advised that the Securities and Exchange Commission (SEC) has approved an amendment to the NASD Board of Governors' "Free-Riding and Withholding"
Statistics on Unpaid Customer Awards in FINRA Arbitration
Arbitration cases decided by award in the forum operated by FINRA represent a small subset of all cases closed involving customer disputes. The vast majority of customer cases close by settlement – not award.
Notice to Members 99-33
Comment Period Expires May 31, 1999 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
Monthly Disciplinary Actions February 2015
Regulatory Notice 11-32
FINRA Provides Additional Guidance Regarding Reporting Requirements Under Rule 4530
Notice to Members 04-40
GUIDANCE Short Sale Reporting Requirements SUGGESTED ROUTING KEY TOPICS Executive Representatives Operations Trading ACT Reporting Requirements IM-6130 Rule 3350 Rule 6130 Short Sale Reporting Requirements Executive Summary On May 20, 2004, NASD, through its subsidiary, The Nasdaq Stock Market, Inc. (NASDAQ),
Notice to Members 04-22
GUIDANCEContinuing Education RulesSUGGESTED ROUTINGKEY TOPICSContinuing EducationLegal & ComplianceOperationsSenior ManagementContinuing EducationRule 1120Executive SummaryOn February 13, 2004, the Securities and Exchange Commission (SEC) approved amendments to Rule 1120 to require that each member designate and identify to NASD the individual(s) who will receive Web Central
Notice to Members 03-32
INFORMATIONAL NASD Consultative Committees SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Consultative Committees District Committees Enforcement Actions Market Regulation Committee Executive Summary NASD is issuing this Notice to replace and supersede Notice to Members 03-10, which discussed
Notice To Members 95-85
SUGGESTED ROUTING Senior Management Legal & Compliance Operations Executive Summary NASD Notice to Members 95-16 (March 1995) and NYSE Information Memorandum 95-16 (April 1995) (collectively referred to as "95-16") were published to address issues concerning provisions in customer agreements and predispute arbitration clauses that appear to violate NASD and NYSE rules.