REQUEST FOR COMMENT
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Comment Period Expires on: August 9, 2002
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Executive Summary
NASD requests comment from members, investors, and other interested parties on proposed amendments to NASD Rule 2320(a) (
FINRA publishes information about the Order Audit Trail System (OATS) on a regular basis via an online newsletter titled The OATS Report.
This email is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@filling-regfinra.com”. The domain of “filling-regfinra.com” is not connected to FINRA, and firms should delete all emails originating from this domain. Member firms should be aware that they may receive similar phishing emails from other domain
<p>Letter addresses circumstances under which persons must report events involving a fixed annuity insurance product.</p>
INFORMATIONAL
Selling Away And Outside Business Activities
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Promissory Notes
NASD Rule 3030
NASD Rule 3040
Supervision
Executive Summary
NASD Regulation, Inc. (
ACTION REQUESTED
Rule Modernization Project
Comment Period Expires: July 2, 2001
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Rule Review
Rule Modernization
Executive Summary
Over the past several years, NASD Regulation, Inc. (NASD Regulation) has conducted a comprehensive review of many of the National
ACTION REQUESTED
Required Disclosures For Securities Recommendations
Comment Period Expires August 15, 2001
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NASD Regulation, Inc. (NASD RegulationSM) requests comment from National
INFORMATIONAL
Continuing Education
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Continuing Education Regulatory Element Notification
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Executive Summary
National Association of Securities Dealers, Inc. (NASD®) firms are reminded that the Web Central
TO: All NASD Members and Other Interested Persons
The Department of the Treasury is amending Form 4789, the Currency Transaction Report, which is used by broker-dealers to report cash transactions of more than $10,000, as required by SEC Rule 17a-8 and the Currency and Foreign Transactions Reporting Act of 1970.
The new form becomes effective on July 1, 1986.
BACKGROUND
The Currency and Foreign
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EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has approved changes to Form BD, the Uniform Application for Broker/Dealer Registration. The amendments, developed in consultation with the NASD, North American Securities Administrators
