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Interpretive Letter to Robert C. Hacker, Esq., Kirkpatrick & Lockhart, LLP
<p>Member that serves as investment consultant and sub-administrator for certain mutual funds, but does not serve as either the principal underwriter or an investment adviser or sub-adviser to the funds, may state in its public communications that it does not offer proprietary products.</p>
Election Notice – 7/28/15
FINRA Announces Nomination Process to Fill an Upcoming Vacancy on the National Adjudicatory Council
Information Notice - 4/2/12
FINRA Surveys to Update the Series 27, 28 and 55 Qualification Examinations
Regulatory Notice 17-05
FINRA and ISG Update Certain Electronic Blue Sheet Data Elements
Election Notice - 8/3/12
FINRA Announces Upcoming Vacancy on the National Adjudicatory Council
Regulatory Notice 08-72
FINRA Provides Guidance Concerning the Types of Securities Transactions Subject to the Regulatory Transaction Fee
Notice To Members 88-62
SUGGESTED ROUTING* Senior Management Corporate Finance SyndicateTrading *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY In response to the NASD's request, the Securities and Exchange Commission (SEC) has adopted Rule 10b-21 to prohibit persons from purchasing securities out of a public offering to cover short sales executed after the
Notice To Members 85-30
TO: All NASD Members The Securities and Exchange Commission recently issued proposals designed to clarify the obligations of brokers and issuers under its previously adopted direct communications program. The SEC had earlier mandated a program for issuers' direct communications with beneficial shareowners to go into effect on January 1, 1985. However, on August 17, 1984, with the full
Notice to Members 01-72
INFORMATIONAL Continuing Education SUGGESTED ROUTING KEY TOPICS Continuing Education Legal &amp; Compliance Registration Senior Management Continuing Education Firm Element Executive Summary The Securities Industry/Regulatory Council on Continuing Education (Council) has issued a Firm Element Advisory, a guide for firms to use when developing their continuing
Notice to Members 06-48
GUIDANCE Mutual Fund Performance Sales Material SUGGESTED ROUTING KEY TOPICS Advertising Executive Representatives Investment Companies Legal &amp; Compliance Mutual Funds Registered Representatives Senior Management Mutual Fund Performance Advertising Fees and Expenses Rule 2210 Rule 2211 Executive Summary On July 5, 2006, the Securities and Exchange Commission (SEC)