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Notice to Members 99-105
INFORMATIONAL Trade Date—Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Trade Date-Settlement Date Schedule The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context
Regulatory Notice 07-47
Amendments to NASD IM-2210-4: Web Site References to FINRA Membership and Limitations on the Use of FINRA's Name and Other Corporate Names Owned by FINRA
Notice to Members 99-30
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts As of February 19, 1999, the following bonds were added to the Fixed
Name Not Public
Exemptive relief is granted based on: the representations that the contributions were made prior to employment; the individual did not engage in the solicitation of, or have involvement in, municipal securities business (as defined) for the prior six years; the firm had no knowledge of the contributions at the time they were made; the firm has established detailed and comprehensive compliance procedures and has developed information barriers surrounding the solicitation of certain municipal securities business.
Regulatory Notice 11-55
FINRA Collection of Short Interest Data for BATS Exchange-Listed Securities
MSRB Report Cards
Please note: MSRB Rule G-32 has replaced MSRB Rule G-36, effective June 1, 2009; as a result, the MSRB G-36 Report Card is no longer being published.
Common Definitions Mutual Funds Should Use to Describe Breakpoint Discount Rules
The Joint NASD/Industry Task Force urges mutual funds to include these definitions in their prospectuses and other relevant materials as soon as is reasonably practicable.
Super Account Administrator (SAA)
The FINRA Entitlement Program requires that each organization designate a Super Account Administrator (SAA). The SAA is entitled as an administrator to all applications participating in the FINRA Entitlement Program that are available to the organization.
Regulatory Notice 11-50
SEC Approves Amendments to FINRA Rule 9251 to Explicitly Protect From Discovery Those Documents That Federal Law Prohibits FINRA From Disclosing
Regulatory Notice 11-31
Interim Pilot Program on Margin Requirements for Credit Default Swaps