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Notice to Members 99-80
ACTION REQUIRED SOES Order Sizes SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Systems Trading SOES Maximum Order Sizes The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure. Executive Summary Effective October 1, 1999,
Notice to Members 99-72
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts As of June 22, 1999, the following bonds were added to the Fixed
Notice to Members 99-47
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts As of April 22, 1999, the following bonds were added to the Fixed
Notice to Members 99-11
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
Remarks from FINRA Fixed Income Conference
Remarks From FINRA Fixed Income Conference
Interpretive Letter to Craig S. Tyle, Investment Company Institute
Advertising Department's response to recommendations of the Investment Company Institute concerning member use of hyperlinks.
Monthly Disciplinary Actions December 1996
NASD Regulation, Inc. (NASD Regulation) has taken disciplinary actions against the following firms and individuals for violations of NASDRules; securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board. Unless otherwise indicated, suspensions will begin with the opening of business on Monday, December 16, 1996. The information relating to matters
Mission-driven Innovation Is In Our DNA
A reflection on AWS' Non-Profit Hackathon for Social Good
Notice To Members 95-27
SUGGESTED ROUTING Senior Management Corporate Finance Legal & Compliance Operations Syndicate Trading Training Executive Summary As a result of recent amendments to the Free-Riding and Withholding Interpretation of the NASD Board of Governors under Article III, Section 1 of the NASD Rules of Fair Practice, the NASD revised the questionnaire that is used to review
Notice To Members 94-100
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading As of November 28, 1994, the following 37 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,739: Symbol Company Entry Date SOES Execution Level CVTI Covenant Transport, Inc. (Cl A) 10/28/94 500 LION Fidelity Southern Corp. 10/31/94 200 BUMM B.U.M. International, Inc.