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I. Activity Away From Associated Person's Member Firm [Version up to May. 1, 2018]
•   Outside Business Activities—Failure to Comply With Rule Requirements •   Selling Away (Private Securities Transactions) •   Transactions for or by Associated Persons—Failure to Comply With Rule Requirements Outside Business Activities—Failure to Comply With Rule Requirements FINRA Rules 2010 and 3270 Principal
Regulatory Notice 16-06
SEC Approval of FINRA Funding Portal Rules and Related Forms
Notice To Members 90-26
SUGGESTED ROUTING* Senior Management Corporate Finance Legal & Compliance Mutual Fund Operations *These are suggested departments only. Others may be appropriate for your firm. REQUEST FOR COMMENTS EXECUTIVE SUMMARY The NASD requests comments on proposed amendments to the NASD mutual fund maximum sales charge rule that would subject
Notice To Members 95-76
SUGGESTED ROUTING Senior Management Legal & Compliance Executive Summary On August 10, 1995, the Securities and Exchange Commission (SEC) approved amendments to the NASD's rules to make a failure to honor a written and executed settlement agreement of a dispute arbitrated by any self-regulatory organization or mediated by the NASD® a violation of the Rules of Fair Practice.
Notice To Members 95-36
SUGGESTED ROUTING Senior Management Institutional Legal & Compliance Mutual Fund Operations Systems Trading Executive Summary On March 17, 1995, the Securities and Exchange Commission (SEC) approved the NASD's amendments to Sections 5, 6, 12,46, and 64 of the Uniform Practice Code (the UPC) and Sections 1 and 26 of the Rules of Fair Practice (the RFP) to conform the NASD
Notice To Members 95-15
Comment Period Expires April 24, 1995 SUGGESTED ROUTING Senior Management Government Securities Institutional Legal & Compliance Trading Executive Summary The Department of the Treasury (Treasury) recently issued an Advance Notice of Proposed Rulemaking (ANPR) under the Government Securities Act of 1986 (GSA). Treasury intends to implement rules to require persons
Notice To Members 93-33
SUGGESTED ROUTING Senior ManagementLegal & ComplianceTrading Executive Summary The cornerstone of the NASD's self-regulatory process is the nationwide committee system of securities industry representatives that conducts peer reviews, takes disciplinary action where appropriate, and imposes remedial sanctions when federal securities laws or NASD® rules and regulation
Notice To Members 93-5
SUGGESTED ROUTING Senior ManagementCorporate FinanceGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining The NASD® published the following Notices to Members during 1992. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of
Notice to Members 99-78
INFORMATIONAL Continuing Education SUGGESTED ROUTING KEY TOPICS Continuing Education Testing/Qualifications Legal & Compliance Senior Management Continuing Education Firm Element 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.
Notice To Members 89-34
SUGGESTED ROUTING*Senior ManagementLegal & ComplianceRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.EXECUTIVE SUMMARYOn April 13, 1989, significant amendments to Article III, Section 27 of the NASD Rules of Fair Practice will take effect. This notice sets forth, in question and answer format, certain guidelines for compliance with the