Displaying 11 - 20 of 78 Results
SR-NASD-2006-100
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rule 2860 (Options) to (1) require that a copy of each amendment to the options disclosure document, Characteristics and Risks of Standardized Options, be distributed to each customer not later than the time of the delivery of a confirmation of a transaction in
Information Notice - 8/26/08
Information Notice - 8/26/08: June 2008 Supplement to the Options Disclosure Document
Information Notice - 1/24/13
November 2012 Supplement to the Options Disclosure Document
Regulatory Notice 14-24
April 2014 Supplement to the Security Futures Risk Disclosure Statement
Notice to Members 02-17
INFORMATIONAL Option Contracts SUGGESTED ROUTING KEY TOPICS Executive Representative Legal & Compliance Registered Representatives Senior Management Options Options Self-Regulatory Council Executive Summary NASD Regulation is providing this Notice on behalf of the Options Self-Regulatory Council. This Notice advises broker/dealers to review or develop
Regulatory Notice 08-09
FINRA Revises Portfolio Margining Risk Disclosure Statement and Written Acknowledgment for Customers Using Portfolio Margin Accounts
Notice to Members 03-07
INFORMATIONAL SUGGESTED ROUTING KEY TOPICS Legal/Compliance Retail Senior Management Hedge Funds Funds of Hedge Funds Suitability Due Diligence Internal Controls Supervision Training Executive Summary As a result of a recent review of members that sell hedge funds and registered products (closed-end funds) that invest in hedge funds ("funds of hedge funds"),
Notice to Members 02-69
INFORMATIONAL Certificates of Deposit Effective Date: October 8, 2002 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Trading Operations Senior Management Certificates of Deposit Executive Summary NASD is issuing this Notice to supersede NASD Notice to Members 02-28 (Notice or Notice 02-28) and replace the guidance offered in Notice to
Suitability for Retail Customers
The Suitability for Retail Customers section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Notice to Members 07-14
GUIDANCE Portfolio Margin Risk Disclosure Statement SUGGESTED ROUTING KEY TOPICS Legal and Compliance Margin Operations Senior Management Margin Requirements Options Portfolio Margin Portfolio Margin Risk Disclosure Statement Rule 2520 Rule 2860 Executive Summary As announced in Notice to Members (NTM) 07-11 (February 2007