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Notice to Members December 1998
Year 2000 Update
Notice to Members FYI January 1998
For Your Information
Notice to Members FYI February 1998
For Your Information
Notice to Members FYI March 1998
For Your Information.
Notice to Members FYI April 1998
For Your Information
Notice to Members 05-50
GUIDANCE Equity-Indexed Annuities SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registered Representatives Senior Management Executive Representatives Insurance Variable Contracts Equity-Indexed Annuities Rule 3030 (Outside Business Activities of an Associated Person) Rule 3040 (Private
Notice to Members 05-49
GUIDANCE Safeguarding Confidential Customer Information SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Operations Senior Management Systems New Technology Privacy Protection of Customer Information Executive Summary NASD members are required to maintain policies and procedures that address
Notice to Members 05-48
GUIDANCE Outsourcing SUGGESTED ROUTING KEY TOPICS Legal and Compliance Operations Senior Management Due Diligence Outsourcing Supervisory Responsibilities Third-Party Service Providers Executive Summary NASD is aware that members are increasingly contracting with third-party service providers to perform certain activities and functions related to
Notice to Members 05-47
GUIDANCE SUGGESTED ROUTING KEY TOPICS Legal and Compliance Operations Senior Management Systems Exchange Act Rule 15c3-1 Exchange Act Rule 15c3-3 Federal Reserve Board Regulation T NASD Rule 2520 Unexpected Close Executive Summary This Notice provides guidelines to members regarding the applicability of Exchange
Notice to Members 05-46
GUIDANCE Taping Rule Effective Date: August 1, 2005 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Senior Management Rule 3010 Taping Rule   Executive Summary On May 5, 2005, the Securities and Exchange Commission approved amendments to paragraph (L) of Rule 3010(b)(2) (Taping Rule or