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Notice To Members 92-52
SUGGESTED ROUTING:* Senior ManagementLegal & ComplianceOperationsRegistration*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The 1992-93 NASD® broker/dealer and agent registration renewal cycle begins in early November. This program simplifies the renewal process through the payment of one invoice amount that will include fees for
Notice To Members 92-27
SUGGESTED ROUTING:* Senior ManagementGovernment SecuritiesLegal & ComplianceMunicipal*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The NASD Fixed Income Securities Committee has considered the need for adequate disclosure in advertising relating to collateralized mortgage obligations (CMOs). The committee has determined that
Notice to Members 07-07
GUIDANCE Code of Arbitration Procedure SUGGESTED ROUTING KEY TOPICS Legal and Compliance Registered Representatives Senior Management Training Arbitration Code of Arbitration Procedure Dispute Resolution Mediation Executive Summary The Securities and Exchange Commission (SEC) has approved the NASD Codes of Arbitration Procedure for Customer and Industry Disputes (
9559. Hearing Procedures for Expedited Proceedings Under the Rule 9550 Series
(a) Applicability The hearing procedures under this Rule shall apply to a member, person associated with a member, person subject to FINRA's jurisdiction or other person who is served with a notice issued under the Rule 9550 Series and who timely requests a hearing or who is served with a petition instituting an expedited proceeding under Rule 9556(h). For purposes of this Rule, such
Notice To Members 86-69
TO: All NASD Members and Other Interested Persons EXECUTIVE SUMMARY The Securities and Exchange Commission recently approved amendments to the Board of Governors' Interpretation on Prompt Receipt and Delivery of Securities and Article III, Section 21 of the NASD Rules of Fair Practice (SEC Release No. 34-23572). The amendments, which will become effective on October 15, 1986,
Regulatory Notice 09-34
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Investment Company Securities
Notice To Members 85-40
TO: All NASD Members ATTN: Compliance and Registration Personnel Effective July 1, 1985, the revised Form U-4 (Uniform Application for Securities Industry Registration or Transfer) and Form U-5 (Uniform Termination Notice for Securities Industry Registration) will be used to register and terminate individuals with the NASD through the Central Registration Depository (CRD). The revised forms are
Regulatory Notice 08-55
FINRA Requests Comment on Proposed Research Registration and Conflict of Interest Rules; Comment Period Expired: November 14, 2008
SEA Rule 17a-11 and Related Interpretations
Publication Date: February 23, 2023 Interpretations are marked in blue background beneath the rule text to which they relate. 17a-11 Notification provisions for brokers and dealers. This section applies to the following types of entities: Except as provided in this introductory text, a broker or dealer, including an OTC derivatives dealer as that term is defined in § 240.3b-12, registered
Notice to Members 03-34
INFORMATIONAL Anti-Money Laundering Customer Identification Programs for Broker/Dealers Effective Date: October 1, 2003 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registration Senior Management Anti-Money Laundering Compliance Programs Executive Summary On April 30, 2003, the Department of