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Notice to Members 05-79
GUIDANCE SUGGESTED ROUTING KEY TOPICS Continuing Education Legal & Compliance Registration Senior Management Continuing Education—Regulatory Element Fees Qualification Examination Fees Rule 1120 (Continuing Education Requirements) Schedule A to NASD By-Laws Executive Summary NASD has filed for immediate effectiveness
Notice to Members 05-78
GUIDANCE OATS Reporting Requirements Effective Date: May 8, 2006 SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Operations Registered Representatives Senior Management Systems Trading Training OATS Rules 6950–6957 Executive Summary On September 28, 2005, the Securities and Exchange Commission (SEC) approved amendments to Rules 6950 through 6957
Notice to Members 05-77
GUIDANCE Corporate Debt Securities SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal and Compliance Operations Senior Management Technology Trading and Market Making Training Credit Default Swaps Debt Securities Operations Options Rule 6200 Series TRACE Rules Transaction Reporting Executive Summary NASD provides interpretive guidance under Rule 6230 on the obligation of
Notice to Members 05-76
INFORMATIONAL SUGGESTED ROUTING KEY TOPICS Executive Representatives Senior Management NASD Board of Governors Executive Summary The Annual Meeting of NASD members will be held on February 3, 2006. The formal notice of the meeting, including the precise time and location, will be mailed on or about December 29, 2005. The individuals nominated by the NASD National
Notice to Members 05-74
INFORMATIONAL District Elections SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registration Senior Management District Elections Executive Summary Through this Notice, NASD announces the election results for the District Committees and the District Nominating Committees. The candidates nominated to the District Committees have been duly elected in
Notice to Members 05-75
GUIDANCE Amendments Regarding Deadlines for Submission of Initial Annual Report under Rule 3012 and Execution of the Initial Annual Certification under Rule 3013 and IM-3013 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registered Representatives Senior Management Trading IM-3013 (Annual Compliance and Supervision
Regulatory Notice 07-37
Regulatory Notice Notice TypeRule Amendment Referenced Rules & NoticesNASD Rule 2860 NTM 06-46NTM 06-09NTM 05-56NTM 05-31 Suggested RoutingComplianceInstitutionalLegalOptionsSenior ManagementTradingTraining Key Topic(s)Exercise LimitsOptionsPosition Limits Options Position and Exercise Limits Executive Summary SEC amendments to NASD Rule 2860 extend until March 1, 2008, a pilot
Regulatory Notice 07-36
Supervision of Recommendations after a Registered Representative Changes Firms Regulatory Notice Notice Type Guidance Referenced Rules & Notices NTM 07-06 SEC Regulation S-P Suggested Routing Compliance Executive Representatives Legal Operations Senior Management Key Topic(s) SEC Regulation S-P Mutual Funds Registered Representatives Supervision Variable Products Executive
Regulatory Notice 07-35
Extension of Regulatory Relief Regulatory Notice Notice TypeGuidance Referenced Rules & NoticesNYSE Rule 409Regulation NMSSEC Rule 10b-10 Suggested RoutingComplianceLegalOperationsSenior ManagementTechnology Key Topic(s)ConfirmationsStatements of Account PLEASE NOTE: The FINRA rulebook currently consists of both NASD Rules and certain NYSE Rules that FINRA has incorporated,
Regulatory Notice 07-34
On June 7, 2007, the SEC approved amendments to Rule 2790 to prohibit issuer-directed allocations of new issues to broker-dealers and to provide an exemption for issuer-directed non-underwritten offerings.