SUGGESTED ROUTING:*
Legal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC has approved changes to the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and the Uniform Termination Notice for Securities Industry Registration (Form U-5). The changes to Form U-4 include
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The NASD reminds members that the NASD By-Laws require a statutorily disqualified person who wishes to obtain a controlling interest in, or become a controlling person of, an NASD member firm must, before assuming such a position, apply to the NASD for approval through the Eligibility Proceedings described in the NASD By-Laws
Summary
FINRA has adopted changes to its rules to permit, and in some instances require, electronic service and filing of documents in disciplinary and other proceedings and appeals.1 FINRA has also amended its rules to require parties in proceedings before the Office of Hearing Officers (OHO) to file and serve the parties with their current email address and contact information at the
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceMutual FundTraining
Executive Summary
The NASD reminds members of their obligations under the Rules of Fair Practice with respect to mutual fund sales practices. Members and their associated persons must ensure that their communications with customers (both oral and written) are accurate and complete regarding disclosure of
INFORMATIONAL
Code Of Procedure
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Code Of Procedure
Disciplinary Action Appeals
Document Production
Eligibility and Qualification Standards
Failure to
Comment Period Expires September 13, 1999
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
GUIDANCE
NASD BrokerCheck
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Training
BrokerCheck
Form BD (Uniform Application for
Broker-Dealer Registration)
Form BDW (Uniform Application for
Broker-Dealer Withdrawal)
Form U4 (Uniform Application for
Securities Industry Registration or
Transfer)
Form U5 (
FINRA, Inc. (referenced as "FINRA"), the Registered Section 15A Association, is the parent company of FINRA Regulation, Inc. (referenced individually as "FINRA Regulation") and FINRA CAT, LLC (referenced individually as "FINRA CAT") (referenced collectively as the "Subsidiaries"). The term "Association" shall refer to FINRA and the Subsidiaries
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsSystems
Executive Summary
The NASD urges members to take immediate action to ensure the accuracy and completeness of trading data submitted through the NASD's electronic blue sheet system in response to regulatory inquiries. The NASD has become concerned that the quality of submissions by members is not at
