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Notice To Members 90-10
SUGGESTED ROUTING* Senior Management Corporate Finance Legal & Compliance Syndicate Training *These are suggested departments only. Others may be appropriate for your firm. MAIL VOTE EXECUTIVE SUMMARY NASD members are invited to vote on a proposed Corporate Financing Rule (the "Rule") that, if adopted, would replace the
Regulatory Notice 19-03
FINRA Reminds ATS Subscribers and ATSs of the April 13, 2019, Effective Date for Disaggregated Transaction Reporting
Notice to Members 05-36
GUIDANCE Mediators as Arbitrators Effective Date: May 6, 2005 SUGGESTED ROUTING KEY TOPICS Legal and Compliance Arbitration Dispute Resolution Mediation Executive Summary The Securities and Exchange Commission (SEC) has approved a new Interpretive Material (IM) to Rule 10308 of the NASD Code of Arbitration Procedure (Code)
Regulatory Notice 13-32
SEC Approves Amendments to FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition under FINRA’s Minor Rule Violation Plan
Election Notice – 3/9/17
Special Election to Fill FINRA Large Firm Governor Vacancy
Trade Reporting Notice - 8/19/10
Weighted-Average Price/Special Pricing Formula Trade Modifier
Interpretive letter to Meredith F. Henning, Foreside
A member firm may include pre-inception index performance data in institutional communications concerning registered open-end investment companies, subject to the stated conditions discussed in the letter.
Notice to Members 98-107
SUGGESTED ROUTING Senior Management Advertising Internal Audit Legal & Compliance Mutual Fund Training Executive Summary This Notice reminds National Association of Securities Dealers, Inc. (NASD®) members of their obligation to ensure that discussions concerning fees and expenses in mutual fund advertisements and sales literature as defined in NASD Rule 2210(a) are
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.
Notice to Members 98-50
SUGGESTED ROUTING Senior Management Internal Audit Legal & Compliance Operations Trading Executive Summary As requested by the Department of Treasury (Treasury), the National Association of Securities Dealers, Inc. (NASD®) provides members with information from the Office of Foreign Assets Control (OFAC) about persons and entities identified as "Specially