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Notice to Members 00-67
INFORMATIONAL Decimalization SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Options Registered Representatives Senior Management Technology Trading & Market Making Decimalization Executive Summary In response to the request1 from the Securities and Exchange Commission (SEC) for a plan on the implementation of decimals trading, the National
Notice to Members 00-33
INFORMATIONAL Callable Common Stock SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Operations Senior Management Trading & Market Making Callable Common Stock IM-2110-6 Executive Summary On April 24, 2000, NASD Regulation, Inc. (NASD RegulationSM) adopted a new interpretation of high standards of commercial honor and just and equitable
Regulatory Notice 17-22
FINRA Adopts Rules on Disruptive Quoting and Trading Activity and Expedited Proceedings
Notice to Members 00-02
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
Interpretive Letter to R. Bruce Hughes, Access Mortgage Services, Inc.
<p>Acceptance by member of referral fee payments by non-member mortgage banker is governed by Rule 3030 and other supervision rules.<br/></p>
Notice To Members 86-66
TO: All NASD Members and Other Interested Persons ATTN: Direct Participation Programs Department EXECUTIVE SUMMARY This notice examines a number of due diligence reimbursement practices that have arisen in the area of public offerings of direct participation programs and the appropriateness of those practices under the NASD's underwriting compensation guidelines. This notice is a
For Your Information - July 1999
Registration Fee Changes Registration fees have changed recently in the following jurisdictions: Utah, the Chicago Board of Options Exchange, North Dakota, and Nebraska. These registration fees are processed through the Central Registration Depository (CRDSM) and the changes went into effect on July 1, 1999. Utah Fee Description New Amount • UT Individual Registration Fee $45.00 • UT
Notice to Members 98-100
SUGGESTED ROUTING Senior Management Legal &amp; Compliance Systems NASD Regulation, Inc. (NASD RegulationSM) would like to remind members of their obligation to file the appropriate FOCUS reports by their due dates. The following schedule outlines due dates for 1999. In particular, members are reminded that Schedule I of Form X-17A-5 for the 1998 calendar year must be
Notice to Members 98-108
SUGGESTED ROUTING Senior Management Executive Representatives Legal &amp; Compliance Operations Registered Representatives Executive Summary As published in NASD Notice to Members 98-77 (September), Article IV, Section 3 of the National Association of Securities Dealers, Inc. ( NASD®) By-Laws has been amended. This By-Law change, which takes effect January 1, 1999,
Written Supervisory Procedures Checklist for Funding Portals
This Written Supervisory Procedures Checklist (“WSP Checklist”) outlines selected key topics as a reference tool to assist funding portal members (“FP members”) in fulfilling their compliance obligations.