Notices

Regulatory Notice 14-15
FINRA Requests Comment on the Effectiveness and Efficiency of its Gifts and Gratuities and Non-Cash Compensation Rules
Tuesday, April 08, 2014
Regulatory Notice 09-34
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Investment Company Securities
Wednesday, June 17, 2009
Notice to Members 06-06
NASD Requests Comment on Proposed Interpretive Material IM-3060 Addressing Gifts and Business Entertainment
Monday, January 23, 2006
Notice to Members 05-40
NASD Requests Comment on Proposal to Prohibit All Product-Specific Sales Contests and to Apply Non-Cash Compensation Rules to Sales of All Securities
Monday, May 09, 2005
Notice to Members 97-81
NASD Regulation Requests Comment on Proposed Amendments Relating to Compensation for Sale of Public Offerings of Direct Participation Programs;
Saturday, November 01, 1997
Notice to Members 97-50
NASD Regulation Requests Comment on Regulation of Payment and Receipt of Cash Compensation Incentives;
Friday, August 01, 1997
Notice to Members 99-81
NASD Requests Comment on Proposed Salesperson Compensation Rules;
Thursday, September 02, 1999
Notice to Members 99-55
Questions and Answers Relating to Non-Cash Compensation Rules
Thursday, July 01, 1999
Notice to Members 98-75
SEC Approves Rule Change Relating to Non-Cash Compensation for Mutual Funds and Variable Products
Tuesday, September 01, 1998
Notice to Members 01-63
SEC Approves New Rule Relating to the Application of NASD Rules and Interpretive Materials to Exempted Securities
Friday, September 28, 2001
Notice to Members 01-85
Guidance on Compensation and Mixed Capacity Trading
Monday, December 24, 2001
Notice to Members 04-13
SEC Approves Amendments to Rule 2710 (Corporate Financing Rule) and Rule 2720 (Distribution of Securities of Members and Affiliates-Conflicts of Interest)
Friday, February 27, 2004
Notice to Members 03-68
NASD Reminds Members That Fee-Based Compensation Programs Must Be Appropriate
Tuesday, November 04, 2003
Notice to Members 03-53
SEC Announces Immediate Effectiveness of Amendments to Non-Cash Compensation Provisions of Rule 2710 and Rule 2810
Wednesday, September 24, 2003
Notice to Members 04-07
NASD Requests Comment on Proposed Amendments to Rules 2710 (Corporate Financing) and 2810 (Direct Participation Programs);
Tuesday, February 03, 2004