Comment Period Expires: February 24, 1997
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Mutual Fund
Training
Executive Summary
NASD Regulation, Inc. (NASD Regulation) requests comment on the use by NASD® members (securities broker/dealer firms) and their associated persons of bond mutual fund risk ratings in sales literature given to customers. In
INFORMATIONAL
Trading — Extended Hours
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Disclosure
Trading, Extended Hours
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) reminds members of their obligation under just and equitable principles of trade and the advertising rule to disclose to customers the material risks of extended
NASD is issuing this article to clarify member responsibilities as they relate to OATS reporting when: 1) routing an order to another exchange for handling or execution, and 2) executing an order and reporting the execution on a national securities exchange or a facility operated by a national securities association.
Comment Period Expires April 21, 1995
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On March 17, 1995, the NASD Board of Governors approved the issuance of a Notice to Members, soliciting comment on a proposal for comprehensive structural changes in The Nasdaq Stock Market™ through the
Outside directors of broker/dealers must register as principals if they wish to participate in the day-to-day conduct of members' securities businesses and the implementation of corporate policies related to such businesses.<br/>
INFORMATIONAL
Soliciting Business Internationally
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Training
Foreign Regulators
Soliciting Business
Executive Summary
Foreign regulators have informed the National Association of Securities Dealers, Inc. (NASD®) that persons associated with member firms may be soliciting
REQUEST FOR COMMENT
NASD Seeks Comment on Enhanced Access to NASD BrokerCheck (Formerly Known as NASD's Public Disclosure Program)
Comment Period Expires: January 9, 2004
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Registered Representatives
Legal & Compliance
Senior Management
Central Registration Depository
Cover Letter from FINRA Chairman and CEO, Rick Ketchum
January 11, 2013
Today, FINRA published its eighth annual
2013 Regulatory and Examination Priorities Letter
to highlight the key issues that are significant to our regulatory programs. This letter is an important part of our work to support your efforts to regularly update your compliance capability. It is my
Sec. 11. (a) The Corporation, the Board, a committee appointed pursuant to Article IX, Section 1, and the Corporation's staff shall not take any position publicly or with a member or person associated with or employed by a member with respect to any candidate in a contested election or nomination held pursuant to these By-Laws or the NASD Regulation By-Laws. A Governor or a member
SEC Approves Amendments to Establish Two Optional TRACE Data Delivery Services and Related Fees
