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Regulatory Notice 08-57
FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules; Effective Date: December 15, 2008
Notice To Members 91-68
SUGGESTED ROUTING:* Senior ManagementInternal AuditLegal & ComplianceMutual FundTraining*These are suggested departments only. Others may be appropriate for your firm. MAIL VOTE EXECUTIVE SUMMARY The NASD invites members to vote on a proposed amendment to Article III, Sections 26 and 29 of the NASD Rules of Fair Practice. The amendment would revise, simplify, and add a
Notice To Members 83-59
TO: All NASD Members and NASDAQ Subscribers The Securities and Exchange Commission has recently authorized the expansion of the number of securities eligible for trading by our members through the linkage between the Intermarket Trading System (ITS) and the Computer Assisted Execution System (CAES). This linkage was mandated by the Commission in its order dated April 21, 1981, the first phase of
SEA Rule 15c3-3a Exhibit A and Related Interpretations
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Notice To Members 84-21
TO: All NASD Members On February 17, 1984, the Securities and Exchange Commission ("Commission" or "SEC") approved 1/ new Article III, Section 38 of the Association's Rules of Fair Practice, an Explanation of the Board of Governors, and an amendment to the Code of Procedure for Handling Trade Practice Complaints ("Code of Procedure"). These rule changes are
1240. Continuing Education
This Rule prescribes requirements regarding the continuing education of registered persons. The requirements shall consist of a Regulatory Element and a Firm Element as set forth below. This Rule also sets forth continuing education programs through which specified persons may maintain their qualification in a representative or principal registration category following the termination of that
Notice to Members 02-76
INFORMATIONAL Corporate Debt Securities Transactions Subject to Reporting and Dissemination SUGGESTED ROUTING KEY TOPICS Continuing Education Legal & Compliance Registration Senior Management Foreign Deferrals In-Firm
Notice To Members 87-50
TO: All NASD Members and Other Interested Persons The Securities and Exchange Commission (SEC) has amended its net capital, recordkeeping, and quarterly securities-count rules under the Securities Exchange Act of 1934 regarding the treatment of repurchase (repo) and reverse repurchase (reverse repo) agreements entered into by registered broker-dealers. The amendments to SEC Rule 15c3-l will
Notice To Members 91-10
SUGGESTED ROUTING:* Senior ManagementCorporate FinanceOperationsSyndicate*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission has approved amendments to Part i of Schedule D to the NASD By-Laws that provide new and separate fee structures for Nasdaq issuers. The new fees went into effect January 2, 1991.
Notice To Members 85-54
IMPORTANT MAIL VOTE OFFICERS, PARTNERS AND PROPRIETORS TO: ALL NASD Members LAST VOTING DATE IS SEPTEMBER 13, 1985 Enclosed is a proposed addition to Article III of the NASD's Rules of Fair Practice. The proposed new rule has been approved by the Board of Governors and now requires the membership's approval, The rule would establish new requirements for the private securities