TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MARCH 31, 1988.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to the NASD Rules of Fair Practice that would generally prohibit members from accepting non-cash sales compensation in connection with the distribution of investment company and variable contract products.
The purpose of the amendments is to
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
This notice announces adoption of an amendment to Article HI, Section 35 of the NASD Rules of Fair Practice. The amendment was adopted by the NASD Board of Governors in response to the use by certain members of misleading advertising and improper sales literature in the marketing of public direct participation programs.
The
The Reg BI and Form CRS topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce the
nominees for the District Committees and the District Nominating
Committees.1 The individuals identified in this
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce the
Comment Period Expires: January 9, 1998
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on proposed amendments to National Association of Securities Dealers, Inc. (NASD®) Rule 2810 (DPP Rule or Rule) that would modify the compensation that members are
Gentlemen:
It's my money, not your money.
Regulators have not, in general, performed very well and there is no reason to expect you will perform well in this area either.
FINRA has launched an online advertising campaign, Get Your Head in the Trade, encouraging new investors to understand investment risks and rewards as well as their own financial goals and risk tolerance before making an investment decision.
October 9, 2018
New York, NY
Agenda
8:00 a.m. – 4:30 p.m.
Registration
8:00 a.m. – 9:00 a.m.
Networking Breakfast
9:00 a.m. – 9:15 a.m.
Welcome Remarks
9:15 a.m. – 10:15 a.m.
Session I: Regulatory Reporting Requirements
10:15 a.m. – 10:30 a.m.
Networking Break
10:30 a.m. – 11:30 a.m.
Session II: New CRD® —Transforming the
