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Regulatory Notice 07-50
SEC Approves Amendments to NASD Rule 11870 and NYSE Rule 412 to Conform with NSCC's ACATS Transfer Cycle Time Frames
Notice to Members 96-30
As of March 22, 1996, the following 77 issues joined the Nasdaq National Market®, bringing the total number of issues to 4,051: Symbol Company Entry Date SOES Execution Level CMCO Columbus McKinnon Corp. 2/23/96 200 CYAN
Notice to Members 04-93
GUIDANCEShort Sale RequirementsSUGGESTED ROUTINGKEY TOPICSInternal AuditLegal & ComplianceOperationsRegistered RepresentativesSenior ManagementSystemsTradingTrainingOATSRule 3110Rule 3210Rule 3350Rule 3370Rule 11830Rules 6950–6957Short SalesExecutive SummaryOn June 23, 2004, the Securities and Exchange Commission (SEC) adopted certain provisions of a new short sale regulation, designated
Quarterly Disciplinary Review - Winter Issue/December 2006
The Office of General Counsel (OGC) of NASD Regulatory Policy and Oversight publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (Hearing Panel and National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission (SEC) in NASD cases).
Quarterly Disciplinary Review - Fall Issue/September 2006
The Office of General Counsel (OGC) of NASD Regulatory Policy and Oversight publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (Hearing Panel and National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission (SEC) in NASD cases).
Quarterly Disciplinary Review - Spring Issue/March 2006
The Office of General Counsel (OGC) of NASD Regulatory Policy and Oversight publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (Hearing Panel and National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission (SEC) in NASD cases).
Notice to Members 05-32
GUIDANCE Predispute Arbitration Agreements SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Arbitration Books and Records Predispute Arbitration Agreements Rule 3110 Executive Summary NASD Rule 3110(f) governs a member's use of predispute arbitration agreements with customers. The Securities and Exchange Commission (SEC) has approved
Regulatory Notice 09-72
SEC Approval and Effective Dates for New Consolidated FINRA Rules
Notice to Members 05-07
GUIDANCE Do-Not-Call Registry Effective Date; March 1, 2005 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registered Representatives Senior Management Training Cold Call Do-Not-Call Do-Not-Call Registry Rule 2212 Telemarketing Telephone Solicitation Executive Summary On January 11, 2005, the Securities and Exchange Commission (SEC) approved amendments to
Quarterly Disciplinary Review - Winter Issue/December 2004
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).