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Guidelines for Use of FINRA and TRACE Trademark
This document provides guidelines regarding the use of the Trace Reporting and Compliance Engine and TRACE trademarks. Any use of these trademarks must be in accordance with these guidelines.
Administrative Use if Real-time TRACE Information and Data
Administrative Use
Disaster Recovery Site
Disaster Recovery Site
Derived Data
Derived Data
Notice to Members 03-67
INFORMATIONAL Amendments to NASD Rules Regarding the Regulation of Activities of Members Experiencing Financial and/or Operational Difficulties Effective Date: December 1, 2003 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Senior Management Rule 3130 Rule 3131 Rule 9160 Rule 9400 Series Net Capital
Notice to Members 04-38
GUIDANCE Credit Extension/Day Trading Requirements SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Senior Management Day Trading Margin Requirements Regulation T Rule 2520 Executive Summary On March 11, 2004, NASD announced a disciplinary action that resulted in a $10 million fine against three
Notice to Members 03-68
ACTION REQUIRED Fee-Based Compensation SUGGESTED ROUTING KEY TOPICS Legal and Compliance Registered Representatives Senior Management Charges for Services Performed Fee-Based Compensation NASD Rule 2110 NASD Rule 2430 Executive Summary Fee-based programs typically charge a customer a fixed fee or percentage of assets
Notice to Members 03-69
ACTION REQUIRED Electronic Communications Networks Changes Effective: November 10, 2003 SUGGESTED ROUTING KEY TOPICS Executive Representative Legal & Compliance Operations Senior Management Transaction Reporting Electronic Communication Networks Executive Summary NASD is issuing this Notice to replace and
Notice to Members 03-70
INFORMATIONAL Discovery SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Arbitration Discovery Executive Summary NASD rules require parties to NASD arbitrations to cooperate in the voluntary exchange of documents and information, and to respond to discovery requests from other parties within a certain
Notice to Members 03-71
INFORMATIONAL Non-Conventional Investments SUGGESTED ROUTING KEY TOPICS Legal/Compliance Retail Senior Management Internal Audit Advertising and Sales Literature Due Diligence Non-Conventional Investments Suitability Executive Summary In the aftermath of the recent downturn in the equity markets, NASD reviewed the