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Election Notice – 10/16/18
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Regulatory Notice 10-26
SEC Approves Amendments to Trade Reporting Requirements for Restricted Equity Securities and Revisions to the Definition of OTC Equity Security
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>
Notice to Members 03-49
REQUEST FOR COMMENT Supervision Rules Comment Period Expires: October 10, 2003 SUGGESTED ROUTING KEY TOPICS Legal &amp; Compliance Senior Management Rule 3010 Supervisory Systems Executive Summary NASD requests comment on proposed amendments to Rule 3010 (Supervision) to require members to adopt heightened supervision
Election Notice - 7/5/13
Notice of Annual Meeting of FINRA Firms and Proxy
Regulatory Notice 09-54
SEC Approves Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
Regulatory Notice 14-52
Pricing Disclosure in the Fixed Income Markets Regulatory Notice Notice Type Request for Comment Suggested Routing Compliance Legal Operations Senior Management Trading Key Topics Fixed Income Securities Pricing Information Transaction
Notice To Members 94-27
SUGGESTED ROUTING Senior ManagementAdvertisingLegal &amp; ComplianceMutual Fund Executive Summary Beginning May 1, 1994, the NASD will assess increased charges for the review of certain advertisements and sales literature, including printed material, video and audio media, printed and audio material in excess of a certain amount, and material submitted for expedited review. The text
Interpretive Letter to Mr. Alan E. Sorcher, Securities Industry Association & Ms. Sarah A. Miller, ABA Securities Association
<p>Relief granted to banks to facilitate an orderly and efficient transition of employees from a bank into a broker/dealer to comply with the Financial Modernization Act of 1999.<br /> </p>
Name Not Public
Exemptive relief is granted based on the following considerations: (1.) the de minimis nature of the Contribution mitigates the probability that the payment will improperly influence issuer officials; (2.) the Contribution was made by an individual who has never been employed in the municipal securities business.