Executive Summary
NASD has adopted an amendment to Section 4(b) of Schedule A to the NASD By-Laws, establishing a fee to be imposed on members that fail timely to pay their annual Renewal Fee as indicated on their Preliminary Renewal Statement. The rule change was filed with the Securities and Exchange Commission (SEC) on July 25, 2002. Pursuant to Section 19(b)(3)(A)(ii) of the Securities
Summary
The purpose of this Election Notice is to (1) notify members of an upcoming election to fill two large firm seats and one mid-size firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional candidate on the ballot
The SEC, NASAA and FINRA are jointly issuing this Investor Alert to make investors aware of the increase of investment frauds involving the purported use of artificial intelligence (AI) and other emerging technologies. Bad actors are using the growing popularity and complexity of AI to lure victims into scams. Here are a few things to look out for to help you keep your money safe from these frauds.
For Your Information
National Association of Securities Dealers, Inc.
October 1989
Three NASD District Offices to Hold Major Conferences This Month
Three NASD offices — Districts 5, 8, and 13 - will sponsor major conferences this month.
District 5
The District 5 annual membership meeting and conference, co-sponsored with Tulane Law School, will be Friday, October 6, at the Windsor Court
GUIDANCEOnline Arbitration Claim Filing SystemEffective Date: August 5, 2004SUGGESTED ROUTINGKEY TOPICSLegal and ComplianceArbitrationArbitratorsDispute ResolutionExecutive SummaryThe Securities and Exchange Commission (SEC) has approved amendments to Rule 10314 of the NASD Code of Arbitration Procedure (Code) to allow parties to complete part of the arbitration claim filing process
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Table of Contents
PART I INTERPRETIVE MATERIAL, DEFINITIONS,
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TO: All NASD Members and Other Interested Persons
The NASD Board of Governors is concerned that some NASD members may not have sufficient time to comment on NASD proposals published in Notices to Members because the appropriate person in the firm does not receive the notices on a timely basis. The NASD normally provides a thirty-day period in which members and other interested persons can submit
<p>Application of Rules 3030 and 3040 to associated persons who receive commissions for brokering viatical settlement contracts.</p>
TO: All NASD Members and Other Interested Persons
The methods used in calculating yields on mutual funds and unit investment trusts, whose primary objective is the provision of income, and the manner in which such are presented to the public have been the subject of mounting interest and comment during the past year. The NASD has received complaints from its members, the staff of the Securities
