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Notice to Members 05-39
GUIDANCE Fingerprinting Procedures SUGGESTED ROUTING KEY TOPICS Legal and Compliance Registration Senior Management Best Practices Fingerprinting Executive Summary NASD is issuing this Notice to Members to remind members to review and, as necessary, update their fingerprinting procedures to help ensure that fingerprints
Interpretive Letter to Eileen Ryan, Esq., Securities Industry Association, and Sarah Starkweather, Esq., The Bond Market Association
NASD Rule 2211 - Institutional Sales Material and Correspondence</p>Free writing prospectuses are not subject to Rules 2210 and 2211 or the filing requirements of Rules 2710 and 2720
Regulatory Notice 16-15
Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems
Monthly Disciplinary Actions December 2016
Monthly Disciplinary Actions October 2016
Notice To Members 94-54
SUGGESTED ROUTING Senior ManagementLegal &amp; Compliance Executive Summary At its May 1994 meeting, the NASD Board of Governors approved the issuance of a Notice to Members soliciting comment on the Report of the Subcommittee on Punitive Damages of the NASD Legal Advisory Board. The Report proposes a number of approaches that the NASD might adopt for the award of punitive damages in
Notice To Members 95-68
Comment Period Expires: August 28, 1995 SUGGESTED ROUTING Senior Management Internal Audit Legal &amp; Compliance Operations Options Executive Summary The Board of Governors of the Federal Reserve System (Fed.) is requesting comments on proposed changes to Regulation T (Reg. T), which covers extensions of credit by and to broker/dealers.
Notice to Members 97-86
National Association of Securities Dealers, Inc. — 1735 K Street, NW — Washington, DC 20006 — 202-728-8000 November 15, 1997 Dear Member: We are in the process of planning for the 1998 Annual Meeting of Members where Members will be asked to elect 22 Governors. The Members and the SEC just approved changes to the NASD By-Laws designed to improve our corporate governance structure so that
Regulatory Notice 13-32
SEC Approves Amendments to FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition under FINRA’s Minor Rule Violation Plan
Notice To Members 93-58
SUGGESTED ROUTING Senior ManagementCorporate FinanceGovernment SecuritiesInstitutionalInternal AuditLegal &amp; ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining Executive Summary The NASD® has created a Member Buying Services department and consolidated responsibility for the operation of its existing sponsored programs under the