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Notice to Members 99-77
INFORMATIONAL Default Decisions NASD Regulation Modifies Default Decision Procedures SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Default Decisions Disciplinary Actions Hearing Officers The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the
Monthly Disciplinary Actions October 2016
Regulatory Notice 16-37
SEC Approves FINRA’s Capital Acquisition Broker (CAB) Rules
Notice to Members 99-78
INFORMATIONAL Continuing Education SUGGESTED ROUTING KEY TOPICS Continuing Education Testing/Qualifications Legal & Compliance Senior Management Continuing Education Firm Element The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Short Interest Reporting Video Demonstration
FINRA has developed a video demonstration of the new web-based interface through which firms will begin submitting short interest reports to FINRA effective January 17, 2017.
Notice to Members 99-79
ACTION REQUESTED BY OCTOBER 29, 1999 Comment Period Expires October 29, 1999 Advertising Regulation NASD Regulation Requests Comment on Proposed Amendments to Provisions Governing Communications with the Public; Comment Period Expires October 29, 1999 SUGGESTED ROUTING KEY TOPICS Advertising/Investment Companies Internal Audit Legal & Compliance Mutual Fund Registered
Notice to Members 99-80
ACTION REQUIRED SOES Order Sizes SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Systems Trading SOES Maximum Order Sizes The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure. Executive Summary Effective October 1, 1999,
Notice to Members 99-81
ACTION REQUESTED BY OCTOBER 29, 1999 Comment Period Expires October 29, 1999 Salesperson Compensation Practices SUGGESTED ROUTING KEY TOPICS Legal & Compliance Mutual Funds Registered Representatives Senior Management Associated Persons of Members Compensation Investment Company Securities The Suggested Routing function is meant to aid the reader of this document. Each
Notice to Members 99-82
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure. As of July 22,
Trade Reporting Notice – 10/7/16
"Trade Match” and “Trade Acceptance” Clearing Submissions on FINRA’s Alternative Display Facility