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TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the first quarter of 1983. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.
Notice Number
Date
Topic
83-1
January 6, 1983
Real-Time Transaction
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 11810(i) to mandate the use of the automated liability notification system of a registered clearing agency when issuing liability notices in connection with certain securities transactions, provided both parties to the contract are participants in a
We are celebrating 100 episodes of FINRA Unscripted. We’ve covered a lot of ground over the past 4 years and 100 episodes and today we are taking a trip back in time to revisit some of our greatest hits.
FINRA’s Maintaining Qualifications Program (MQP) allows eligible individuals to maintain their qualifications for up to five years by completing CE annually.
Proposed Rule Change to Amend FINRA Rule 2360 (Options) to Extend the Time to Submit Contrary Exercise Advice and the Time for a Final Exercise Decision in the Event of a Modified Close of Trading
Permission to Use FINRA-Copyrighted Material
Succession planning is important not just for customers and representatives but can even be a matter of life or death when it comes to the continued existence of a firm. On this episode, we hear how and why firms should plan for the expected and unexpected in life.
SUGGESTED ROUTING
Senior Management
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) By-Laws were recently amended to require members' Executive Representatives to maintain electronic mail accounts for the purpose of updating firm contact information electronically
The NASD published the following Notices to Members during 1994. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of the entire year's Notices is also available at $150. Request, accompanied by a self-addressed mailing label and a check payable to the National Association of Securities Dealers, Inc., or credit card information, should be