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Notice to Members 03-54
REQUEST FOR COMMENT Compensation for the Sale of Investment Company Securities Comment Period Expires: October 17, 2003 SUGGESTED ROUTING KEY TOPICS Advertising/Investment Companies Executive Representatives Legal & Compliance Mutual Fund Registered Representatives Senior Management NASD Rule 2830 Revenue Sharing
Monthly Disciplinary Actions July 2017
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Notice To Members 88-57
SUGGESTED ROUTING* Corporate Finance Institutional Legal & Compliance Operations Research Syndicate *These are suggested departments only. Others may be appropriate for your firm. As of July 22, 1988, the following 30 issues joined the NASDAQ National Market System
Monthly Disciplinary Actions September 2002
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Notice To Members 87-22
TO: All NASD Members and Other Interested Persons EXECUTIVE SUMMARY The NASD has amended its policy regarding the publication of disciplinary actions to provide that actions resulting in monetary sanctions of $10,000 or more will be published in the same manner as actions resulting in suspensions, bars, expulsions and/or revocations. The new policy will be implemented with respect to District
Notice To Members 85-49
TO: All NASD Members, NASDAQ Companies and Other Interested Persons LAST DATE FOR COMMENT: AUGUST 30, 1985. The National Association of Securities Dealers, Inc., is requesting comment from NASD members, NASDAQ issuers and other interested persons on certain concepts related to voting rights of the shareholders of companies whose securities are included in the NASDAQ National Market System (
Notice To Members 93-71
SUGGESTED ROUTING Senior ManagementInternal AuditLegal & ComplianceOperations Executive Summary On August 13, 1993, the Securities and Exchange Commission (SEC) issued a no-action letter that allows broker/dealers to treat foreign equity securities listed on the FT-Actuaries World Indexes (Indexes) as having a "ready market" under SEC Rule 15c3-1 (net capital rule
Notice To Members 84-37
TO: All NASD Members and Other Interested Persons The National Association of Securities Dealers, Inc. ("Association" or "NASD") is publishing interpretations of restrictions which apply to venture capital investments by NASD members and certain of their control persons. 1/ These restrictions (hereinafter the "Venture Capital Restrictions") were added to the
Monthly Disciplinary Actions July 2001
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Monthly Disciplinary Actions June 2009
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).