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Notice To Members 83-69
TO: All NASD Members ATTN: Operations Principals, Cashiers and Buy-in Personnel The Association's Board of Governors has adopted various amendments to the Uniform Practice Code which prescribes the manner in which over-the-counter securities transactions are compared, cleared and settled between NASD member firms. These amendments to the Code apply to all NASD members participating in
Notice To Members 83-6
TO: All NASD Members Enclosed herewith are proposed amendments to the Association's Uniform Practice Code ("Code") which were approved by the Board of Governors at its November 19, 1982, meeting. The amendments are being submitted to the membership for comment. After the comment period has expired, the Board of Governors will again review the proposal taking into consideration the
Notice to Members 03-71
INFORMATIONAL Non-Conventional Investments SUGGESTED ROUTING KEY TOPICS Legal/Compliance Retail Senior Management Internal Audit Advertising and Sales Literature Due Diligence Non-Conventional Investments Suitability Executive Summary In the aftermath of the recent downturn in the equity markets, NASD reviewed the
Notice To Members 93-53
SUGGESTED ROUTING Senior ManagementLegal & ComplianceOperationsSystemsTrading Executive Summary On July 14, 1993, the Securities and Exchange Commission (SEC) approved a new Section 71 of the Uniform Practice Code (UPC) requiring members to close out short sales in Nasdaq® securities that meet a certain clearing short-position threshold. In addition, the SEC approved
Notice to Members 03-47
IMMEDIATE ACTION REQUIRED SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Accounting Operations Retail Mutual Funds Mutual Fund Breakpoints Customer Refunds Net Capital Compliance Background In late 2002, as a result of several routine examinations, NASD discovered that some members had
Regulatory Notice 12-38
SEC Approves Amendments to FINRA’s Short-Interest Reporting Rule
Notice to Members 03-12
INFORMATIONAL Corporate Debt Securities SUGGESTED ROUTING KEY TOPICS Corporate FinanceLegal and ComplianceOperationsSenior ManagementTechnologyTrading and Market MakingTraining Debt SecuritiesDisseminationOperationsRule 6200 SeriesTransaction Reporting Executive Summary On January 31, 2002, the Securities and Exchange Commission (SEC or Commission) approved
Election Notice - 8/29/18
Summary The purpose of this Notice is to inform FINRA small firm members of the upcoming Small Firm Advisory Committee (SFAC) election. Two seats on the SFAC are up for election, representing the North and West Regions. The SFAC provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on FINRA’s small firms. The SFAC meets five times a
Notice to Members 02-69
INFORMATIONAL Certificates of Deposit Effective Date: October 8, 2002 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Trading Operations Senior Management Certificates of Deposit Executive Summary NASD is issuing this Notice to supersede NASD Notice to Members 02-28 (Notice or Notice 02-28) and replace the guidance offered in Notice to
Notice to Members 99-58
SEC Grants Exemption From Rule 15c2-11 For Securities Being Removed From The OTCBB Pursuant To The NASD Eligibility Rule Suggested Routing   Senior Management   Advertising   Continuing Education   Corporate Finance   Executive Representatives   Government Securities   Institutional