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Information Notice - 8/3/10
FINRA Reminds Firms of Upcoming Changes to BrokerCheck
Election Notice - 7/30/10
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
Regulatory Notice 10-34
SEC Approves Changes to Expand the Information Released Through BrokerCheck and Establish a Process to Dispute (or Update) Information Disclosed Through BrokerCheck
Regulatory Notice 10-33
FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
Election Notice - 7/12/10
Notice of Annual Meeting of FINRA Firms and Proxy
Notice to Members 02-48
Executive Summary NASD has adopted an amendment to Section 4(b) of Schedule A to the NASD By-Laws, establishing a fee to be imposed on members that fail timely to pay their annual Renewal Fee as indicated on their Preliminary Renewal Statement. The rule change was filed with the Securities and Exchange Commission (SEC) on July 25, 2002. Pursuant to Section 19(b)(3)(A)(ii) of the Securities
Notice to Members 02-49
INFORMATIONAL Release of Disciplinary Information Implementation Date: September 1, 2002 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Senior Management IM-8310-2 Release of Disciplinary Information to the Public Executive Summary NASD has adopted amendments to NASD Interpretative Material 8310-2 (IM-8310-2), concerning the release of
Notice to Members 02-50
INFORMATIONAL Comment Period Expires: September 6, 2002 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registration Senior Management Money Laundering Compliance Programs     Executive Summary     On October 26, 2001, President Bush signed into law the USA PATRIOT Act (PATRIOT Act). Title III of the PATRIOT Act,
Notice to Members 00-89
INFORMATIONAL NASD Holiday Schedule SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Schedule The National Association of Securities Dealers, Inc. (NASD®) will observe the following holiday schedule for 2001: January 1 New Year's Day January 15 Martin Luther King Jr. Day (
Notice to Members 02-51
REQUEST FOR COMMENT Investment Analysis Tools Comment Period Expires: September 13, 2002 SUGGESTED ROUTING KEY TOPICS Executive Representative Legal & Compliance Senior Management Investment Analysis ToolsRule 2210 Executive Summary NASD Rule 2210(d)(2)(N) prohibits NASD member firms from making predictions or projections of investment results to the public.1 NASD staff has