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Composition of Regional Committees
Sec. 8.2  (a) A district within its respective region, as established under Section 8.1, shall elect no fewer than six Regional Committee members to serve on the Regional Committee for its respective region, unless otherwise provided by resolution of the Board. A Regional Committee shall consist of no fewer than five and no more than 20 members, unless otherwise provided by resolution of
Notice to Members 02-49
INFORMATIONAL Release of Disciplinary Information Implementation Date: September 1, 2002 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Senior Management IM-8310-2 Release of Disciplinary Information to the Public Executive Summary NASD has adopted amendments to NASD Interpretative Material 8310-2 (IM-8310-2), concerning the
Regulatory Notice 17-22
FINRA Adopts Rules on Disruptive Quoting and Trading Activity and Expedited Proceedings
Notice to Members 97-32
SUGGESTED ROUTING Senior Management Legal & Compliance Registration Executive Summary On April 18, 1997, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) for its approval a comprehensive proposed rule change that will address three primary issues: (1) how an entity or person becomes a member of the NASD® (membership
Regulatory Notice 11-33
SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule
Notice To Members 93-81
SUGGESTED ROUTING Senior ManagementLegal & ComplianceTradingTraining Executive Summary Members are reminded that commission charges to customers in agency transactions are fully subject to all provisions of Article III, Section 4 of the NASD Rules of Fair Practice. As such, the NASD 5% Policy applies as equally to commissions on agency trades as it does to markups or
Notice to Members 05-43
GUIDANCE NAC Nominations Nomination Deadline: August 1, 2005 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management National Adjudicatory Council Executive Summary The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill one upcoming vacancy on the National
Regulatory Notice 16-25
Forum Selection Provisions Involving Customers, Associated Persons and Member Firms
Notice to Members 03-18
INFORMATIONAL NAC Nominations Nomination Deadline: May 9, 2003 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management National Adjudicatory Council Executive Summary The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill two upcoming vacancies on the National Adjudicatory Council (NAC). The three-