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Regulatory Notice 11-43
FINRA Requests Comment on Proposed Amendments to Rule 5210 Regarding Publication of Indications of Interest
Regulatory Notice 09-70
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Registration and Qualification Requirements
Election Notice - 8/5/11
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
Testimony on Banking, Housing, and Urban Affairs
Hearing to Review Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry: The Regulatory Landscape
Notice to Members 01-23
INFORMATIONAL Online Suitability SUGGESTED ROUTING KEY TOPICS Senior Management Legal & Compliance Executive Representatives Suitability Online Communications Executive Summary In light of the dramatic increase in the use of the Internet for communication between broker/dealers and their customers, NASD Regulation, Inc. (NASD Regulation) is issuing a Policy
Notice to Members 99-100
INFORMATIONAL Dispute Resolution Subsidiary SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Arbitration Dispute Resolution Mediation 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
Frequently Asked Questions about the 2001 Amendments to Broker-Dealer Books and Records Rules Under the Securities Exchange Act of 1934
On October 25, 2001, the SEC adopted amendments to Rules 17a-3 and 17a-4. The purpose of this Notice is to address some frequently asked questions about the SEC requirements.
Short Interest Reporting Instructions
FINRA would like to remind member firms of their obligation to file their appropriate short interest reports by their due dates.
Notice to Members 05-21
REQUEST FOR COMMENT Proposed Rule to Enhance Confirmation Disclosure in Corporate Debt Securities Transactions Comment Period Expires April 19 SUGGESTED ROUTING KEY TOPICS Legal and ComplianceOperationsRegistered Representatives Senior ManagementTechnologyTraining ConfirmationsDebt SecuritiesOperationsTransaction Reporting Executive Summary NASD is requesting
Firm Guidance – Private Placement Filings
This reference guide covers a range of private placement topics, from the basic question of "What is a private offering?" to more technical discussions on broker-dealer compliance with FINRA's private placement rules.