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Election Notice - 8/5/11
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
Election Notice - 7/20/09
FINRA Announces Nominees for Vacant Small Firm and Mid-Size Firm Industry National Adjudicatory Council Seats
Notice to Members 03-42
INFORMATIONAL Revised Forms U4 and U5 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registered Representatives Registration Senior Management Training Central Registration Depository Form U4 Form U5 Statutory Disqualification Executive Summary The Securities and Exchange Commission (SEC
Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises Committee on Financial Services
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to testify regarding securities arbitration.
Notice to Members 99-20
Executive Summary On January 11, 1999, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rule 2860(b)(3)(A), tripling the position limits on standardized (exchange-traded) equity options to make them equivalent to the limits on conventional (over-the-counter) equity options overlying the same security. These amendments
Notice to Members 99-15
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading
Notice to Members 98-11
Effective Date: February 15, 1998 SUGGESTED ROUTING Senior Management Advertising Legal & Compliance Mutual Fund Training     Executive Summary     On December 31, 1997, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (
Remarks From the SIFMA Complex Product Forum
Remarks From the SIFMA Complex Product Forum
11870. Customer Account Transfer Contracts
(a) Responsibility to Expedite Customer's Request (1) When a customer whose securities account is carried by a member (the "carrying member") wishes to transfer securities account assets, in whole or in specifically designated part, to another member (the "receiving member") and gives authorized instructions to the receiving member, both members must expedite
Notice to Members 97-08
SUGGESTED ROUTING Senior Management Legal & Compliance Operations Trading Training Executive Summary On January 7, 1997, in Release No. 34-38132, the Securities and Exchange Commission (SEC) approved NASD® rules permitting the quotation of Direct Participation Programs (DPPs or limited partnerships) in the OTC Bulletin Board® Service (OTCBB) and requiring all