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Notice to Members 04-04
ACTION REQUIREDAmendments to Section 5 of Schedule A to the NASD By-Laws SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementFeesNASD By-LawsSimultaneous Filing Group (SFG)Executive SummaryThe Securities and Exchange Commission (SEC) has announced the immediate effectiveness of amendments to Section 5 of Schedule A to the NASD By-Laws (Section 5) to (1)
Election Notice - 7/9/14
Notice of Annual Meeting of FINRA Firms and Proxy
Election Notice – 10/16/18
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Interpretive Letter to Dana G. Fleischman
<p>Based on certain representations and compliance with the requirements of SEC Rule 17a-4(i), third party may provide recordkeeping services to its NASD member clients, such that the member clients would not be required to individually download and separately retain copies of documents required pursuant to Rule 2790(b).</p>
Regulatory Notice 14-30
SEC Approves Amendments to FINRA Rule 2210 to Exclude Research Reports on Exchange-Listed Securities From Filing Requirements and Clarify the Standards Applicable to Free Writing Prospectuses
Notice to Members 01-83
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal &amp; Compliance Municipal/Government Securities Operations Senior Management Trading &amp; Market Making FIPS As of October 21, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity ADLA.GS Adelphia Communications Corp
Notice to Members 01-32
INFORMATIONAL Membership And Registration Rules Series 24, 26, And 62 Modified SUGGESTED ROUTING KEY TOPICS Legal &amp; Compliance Operations Registration Training Corporate Securities Limited Representative (Series 62) General Securities Principal (Series 24) Investment Company Products/Variable Contracts Limited Principal
Election Notice - 7/5/13
Notice of Annual Meeting of FINRA Firms and Proxy
Notice to Members 00-14
ACTION REQUIRED Member Contact Information Update SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal &amp; Compliance Operations Registered Representatives Senior Management Members/Contact Information Executive Summary National Association of Securities Dealers, Inc. (NASD®) member firms must update their Member Firm Contact Questionnaire (NMFCQ or
Interpretive Letter to Karen A. Steighner, Brokerage Administrators Corporation (includes attached incoming letter)
Registration Requirements for Various Teleservicing Activities