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Notice to Members 02-85
IMMEDIATE ACTION REQUIRED SUGGESTED ROUTING KEY TOPICS   Legal and Compliance Operations Senior Management   Mutual Funds Transactions Breakpoints Executive Summary Mutual funds that are sold with front-end sales loads often offer investors the opportunity to pay reduced sales loads under a variety
Regulatory Notice 13-30
SEC Approves Amendments to Customer Arbitration Code to Simplify Panel Selection in Cases With Three Arbitrators
Notice To Members 87-32
TO: All NASD Members and Other Interested Persons LAST DATE FOR COMMENT: JUNE 30, 1987. EXECUTIVE SUMMARY The NASD requests comments on a proposed amendment to Schedule D to the NASD By-Laws that would make an issuer ineligible for initial or continued inclusion in the NASDAQ System if it issues securities or takes corporate action that would have the effect of nullifying, restricting, or
Notice to Members 96-26
Effective Date: April 15, 1996 Executive Summary The Securities and Exchange Commission (SEC) approved, effective February 9, 1996, an amendment to Schedule C of the NASD By-Laws that allows persons registered with Canadian securities regulatory organizations to qualify as general securities representatives by passing a modified General Securities Representative Examination (Series 7). The
Notice to Members 96-27
Executive Summary The purposes of this Notice are to remind members that significant disciplinary actions prompt reentry into the Regulatory Element of the Continuing Education Program; to advise members that, in late April 1996, the NASD will initiate reentry into the Regulatory Element for those members who were the subject of significant disciplinary actions between July 1, 1985, and June 30
New Account Application Template
The New Account Application Template is a voluntary model brokerage account form that is provided as a resource to firms when they design or update their new account forms.
Name Not Public
Exemptive relief is granted based on the following considerations: the Contribution was made by an individual who, at of the time of the Contribution, had never been an MFP nor was Name involved in the Firm’s municipal securities business. We believe the possibility that the payment was intended to influence issuer officials is significantly minimized. To the extent that any potential investor protection concerns exist, the staff believes these concerns will be appropriately addressed by the Firm’s existing firewall procedures for Name.
Notice to Members 99-74
Special NASD Notice to Members 99-74 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 98-89
SUGGESTED ROUTING Senior Management Internal Audit Legal & Compliance Operations Registered Representatives Registration Systems Executive Summary The National Association of Securities Dealers, Inc. (NASD®) Board of Governors has approved changes to Schedule A of the NASD By-Laws affecting the Central Registration Depository (CRDSM) fee structure. The
Notice to Members 99-70
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 Training Variable Contracts Executive Summary NASD Regulation, Inc