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Notice to Members 03-54
REQUEST FOR COMMENT Compensation for the Sale of Investment Company Securities Comment Period Expires: October 17, 2003 SUGGESTED ROUTING KEY TOPICS Advertising/Investment Companies Executive Representatives Legal & Compliance Mutual Fund Registered Representatives Senior Management NASD Rule 2830 Revenue Sharing
Notice to Members 01-18
INFORMATIONAL Fixed Income Transaction Reporting And Dissemination Effective Date: 180 Days After Publication Of TRACE Technical Specifications SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Operations Senior Management Technology
Information Notice – 12/22/15
2016 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Information Notice - 12/10/12
2013 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Information Notice - 12/23/13
2014 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Information Notice - 12/15/11
2012 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Information Notice – 12/23/14
2015 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Notice To Members 92-41
SUGGESTED ROUTING:* Senior ManagementCorporate FinanceLegal & ComplianceMutual Fund*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY On July 7, 1992, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 26 of the NASD Rules of Fair Practice relating to asset-based sales charges by mutual funds.
Notice To Members 90-47
SUGGESTED ROUTING* Senior ManagementLegal & ComplianceTraining *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission (SEC) has approved amendments to Part III, Sections 13, 30, 43, and 44 of the NASD Code of Arbitration Procedure that are intended to discourage successive adjournments of arbitration
Notice To Members 87-31
TO: All NASD Members and Other Interested Persons EXECUTIVE SUMMARY The NASD wishes to apprise its members of the SEC's recent release relating to mark-ups on zero-coupon securities. The SEC has become aware of potential abuses in this area and emphasizes that applicable provisions of the federal securities laws, NASD rules, and MSRB rules apply equally to zero-coupon securities. The SEC