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Notice to Members 98-19
SUGGESTED ROUTING Senior Management Internal Audit Legal & Compliance Operations Systems Executive Summary The Securities and Exchange Commission (SEC) is requesting comment on proposed amendments to Rule 15c3-1, the Net Capital Rule. The SEC proposes to create a new category of broker/dealer for affiliates conducting an OTC derivatives business that would have
Election Notice - 9/4/13
Upcoming Election to Fill FINRA District Committee Vacancies
Notice To Members 93-5
SUGGESTED ROUTING Senior ManagementCorporate FinanceGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining The NASD® published the following Notices to Members during 1992. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of
Notice To Members 92-36
SUGGESTED ROUTING:* Senior ManagementLegal & ComplianceMunicipal*These are suggested departments only. Others may be appropriate for your firm. MAIL VOTE EXECUTIVE SUMMARY The NASD invites members to vote on proposed amendments to Article III, Section 35 of the NASD's Rules of Fair Practice and Section 8 of the NASD's Government Securities Rules to require members to
Notice to Members 01-02
ACTION REQUIRED Broker/Dealer And Agent Renewals SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Registered Representatives Registration Senior Management Registration Renewals Web CRD Executive Summary The 2001 Renewal Program for the National Association of Securities Dealers, Inc. (NASD®) broker/dealer and agent
Notice to Members 03-01
ACTION REQUIRED Broker/Dealer, Investment Adviser, and Individual (AG/RA) Renewals SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Registered Representative Registration Senior Management Registration Renewals Web CRD Web IARD Maintenance Fees Executive Summary The 2003 NASD Broker/Dealer and Investment Adviser Registration
Notice To Members 92-5
SUGGESTED ROUTING:* Corporate FinanceGovernment SecuritiesInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining*These are suggested departments only. Others may be appropriate for your firm. The NASD published the following Notices to Members during 1991. Duplicate copies are available at $25 per monthly or special
Notice to Members 96-90
SUGGESTED ROUTING Internal Audit Legal & Compliance Municipal Operations Syndicate Systems Trading Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr., Day, Monday, January 20, 1997. On January 20, 1997, The Nasdaq Stock Market and the
Reschedule or Cancel Your Appointment
If you need to reschedule or cancel your qualification exam or Regulatory Element Continuing Education (CE) session appointment, you must do so a minimum of 10 business days in advance to avoid any fees. Appointments rescheduled or cancelled within 10 business days will incur a fee.
Notice To Members 89-23
SUGGESTED ROUTING* Senior Management Legal & Compliance Operations Registration Training *These are suggested departments only. Others may be appropriate for your firm. IMPORTANT MAIL VOTE EXECUTIVE SUMMARY The NASD invites members to vote on proposed amendments to