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Notice to Members 98-30
SUGGESTED ROUTING Senior Management Advertising Corporate Finance Legal & Compliance Registration Trading Executive Summary The National Association of Securities Dealers, Inc. (NASD®) Office of the Ombudsman staff has helped resolve many issues and concerns raised by members and their associated persons, issuers and their associated persons, and investors.
Interpretive Letter to Name Not Public
<p>Clarification of <i>NASD Notice to Members 96-33</i>: application of Rule 3040 to registered representatives of a distributor who also are employed by investment advisers to manage the portfolios of investment companies.<br/></p>
Notice to Members 97-14
SUGGESTED ROUTING Senior Management Corporate Finance Legal &amp; Compliance Operations Executive Summary On February 21, 1997, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) an amendment to NASD ® Conduct Rule 2340 to regulate the disclosure of values for unlisted and illiquid direct participation program (DPP) and
Don't Be Crude: Know Your Oil Investment Vocabulary
Knowing oil investment vocabulary terms can help you better understand the energy markets. Here are a few common terms to get you started.
Trade Reporting Notice – 10/7/15
Dissemination of Qualified Contingent Trades Reported to FINRA
Election Notice - 7/5/13
Notice of Annual Meeting of FINRA Firms and Proxy
Notice To Members 94-53
SUGGESTED ROUTING Senior Management Government Securities Institutional Legal &amp; Compliance Operations Executive Summary The Board of Governors of the Federal Reserve System is seeking comments on proposed amendments to Regulation T (Credit by Brokers and Dealers) regarding settlement of securities purchases and the status of government
Testimony Before the Special Committee on Aging United States Senate
John Gannon Testimony - July 16, 2008: Testimony Before the Special Committee on Aging United States Senate
Notice To Members 90-35
SUGGESTED ROUTING* Senior ManagementLegal &amp; ComplianceOperationsSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The OTC Bulletin Board is scheduled to start June 1. The OTC Bulletin Board includes the first real-time display of firm and nonfirm quotation information on potentially more than 10,000 thinly traded
Notice To Members 90-14
SUGGESTED ROUTING* Senior Management Legal &amp; Compliance *These are suggested departments only. Others may be appropriate for your firm. MAIL VOTE EXECUTIVE SUMMARY Members are invited to vote on proposed amendments to Article III, Section 35 of the NASD's Rules of Fair Practice that would: (1) subject advertisements and sales literature