Displaying 7841 - 7850 of 8261 Results
Interpretive Letter to Eric A. Arnold, Esq., Sutherland Asbill & Brennan LLP
A member is not an "affiliated member" of an insurance company for purposes of Rule 2820(g)(4)(D) where no control relationship exists between the entities.
Regulatory Notice 10-06
Guidance on Blogs and Social Networking Web Sites
Notice to Members 06-72
NTM 06-72 supersedes NTM 06-60GUIDANCE Customer Account Statements SUGGESTED ROUTING KEY TOPICS Individual Investors Legal & Compliance Operations Registered Representatives Senior Management Clearing Firms Customer Account Statements Introducing Firms NASD Rule 2340 SIPA (Securities Investor Protection Act) SIPC (Securities Investor Protection Corporation) Executive
Notice to Members 06-64
GUIDANCE Dispute Resolution SUGGESTED ROUTING KEY TOPICS Legal & Compliance Arbitration Arbitrators Dispute Resolution Executive Summary The Securities and Exchange Commission has approved amendments to the arbitrator classification criteria set forth in Rule 10308 of the NASD Code of Arbitration Procedure (Code) to ensure that individuals with significant ties to the
Election Notice - 9/3/14
Upcoming Election to Fill FINRA District Committee Vacancies
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
Interpretive Letter to Cliff Palefsky, Esq., National Employment Lawyers Association
<p>Fair Labor Standards Act class actions are ineligible for arbitration in the NASD Regulation forum.<br /> </p>
Notice to Members 05-16
INFORMATIONAL District Elections SUGGESTED ROUTING KEY TOPICS Legal &amp; Compliance Operations Registration Senior Management District Elections Executive Summary Through this Notice, NASD announces the results of the contested election for membership on the District Committee for District 10. Five candidates were seeking to fill the four open seats on the District Committee
Notice to Members 05-15
INFORMATIONAL District Elections SUGGESTED ROUTING KEY TOPICS Legal &amp; Compliance Operations Registration Senior Management District Elections Executive Summary Through this Notice, NASD announces the results of the contested election for membership on the District Committee for District 1. Four candidates were seeking to fill the three open seats on the District Committee
Election Notice - 9/7/11
Nomination and Election Process to Fill FINRA District Committee Vacancies