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Notice to Members 01-84
INFORMATIONAL INSITE Reporting Requirements Effective Date: December 10, 2001 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Senior Management INSITE Reporting Requirements Executive Summary On November 27, 2001, the Securities and Exchange Commission (SEC) approved proposed National Association of Securities Dealers,
Notice to Members 99-91
INFORMATIONAL Imposition Of Censures SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Disciplinary Actions NASD Sanction Guidelines 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 In July 1999
Notice to Members 00-50
INFORMATIONAL Restrictions On Unregistered Persons SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Operations Registered Representatives Registration Senior Management Training Cold Calling Telemarketing Unregistered Persons Executive Summary In light of recent federal law, NASD Regulation, Inc. (NASD RegulationSM) has withdrawn its rule
Notice To Members 93-42
SUGGESTED ROUTING Senior ManagementLegal & Compliance Executive Summary On May 28, 1993, the Securities and Exchange Commission (SEC) approved amendments to Article II, Section 10 of the NASD® Code of Procedure (Code) to provide for a Minor Rule Violations Plan (Plan). The Plan will permit the NASD to dispose of certain minor rule violations expeditiously and to report the
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
Market Access Controls
The Market Access Controls section of the 2017 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 03-55
See Nasdaq Head Trader Alert 2003-140 at: www.nasdaqtrader.com/dynamic/newsindex/headtraderalerts_2003.stm ACTION REQUIRED Electronic Communications Networks Changes Effective: October 6, 2003 SUGGESTED ROUTING KEY TOPICS Executive Representative Legal & Compliance Operations Senior Management Transaction Reporting
Notice to Members 01-31
INFORMATIONAL Margin Disclosure SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Senior Management Customer Disclosures Margin Executive Summary On April 26, 2001, the Securities and Exchange Commission (SEC) approved National Association of Securities Dealers, Inc. (NASD®)
Notice to Members 97-26
SUGGESTED ROUTING   Senior Management Internal Audit Legal & Compliance Mutual Fund Operations Training Executive Summary On March 24, 1997, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) for its approval Amendment No. 4 to proposed NASD® Rule 2350, which specifies requirements applicable to broker/
Regulatory Notice 15-26
FINRA Requests Comment on a New Academic TRACE Data Product