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Notice to Members 06-06
REQUEST FOR COMMENT Gifts and Business Entertainment Comment Period Expires February 23, 2006 The comment period has been extended to March 3, 2006 SUGGESTED ROUTING KEY TOPICS Internal Audit Institutional Legal and Compliance Retail Senior Management Training Business Entertainment Commercial Bribery Gifts and Gratuities Rule 3060 Executive Summary NASD is proposing
VII. Qualification and Membership [Version up to May. 1, 2018]
•   Branch Offices—Failure to Register •   Cheating, Using an Impostor, or Possessing Unauthorized Materials in Qualifications Examinations or in the Regulatory Element of Continuing Education •   Continuing Education (Firm Element)—Failure to Comply With Rule Requirements •   Continuing Education (Regulatory
Notice to Members 99-67
Comment Period Expires September 13, 1999 SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Variable Contracts Executive Summary
Interpretive Letter to Danny Ho, Commerzbank Securities
<p>If a member transmits orders to buy and sell TRACE-eligible securities to other broker-dealers for the benefit of various proprietary accounts of foreign affiliates of the member, the member is acting as agent and must report the transactions under Rule 6230.</p>
Notice to Members 03-27
INFORMATIONAL NAC Nominees SUGGESTED ROUTING KEY TOPICS Legal &amp; Compliance Senior Management National Adjudicatory Council Executive Summary The purpose of this Special Notice to Members is to announce the nominees for the National Adjudicatory Council (NAC) for the New York and West Regions. The nominees, nominated for a three-year term beginning in January
Notice To Members 92-33
SUGGESTED ROUTING:* Corporate FinanceLegal &amp; Compliance*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The NASD has received a "No-Action Letter" (letter) from the Division of Corporation Finance of the Securities and Exchange Commission. It provides that a broker/dealer may rely on the provisions of SEC Rule 14a-2(b)(2
Regulatory Notice 10-33
FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
Notice to Members 01-74
INFORMATIONAL Continuing Education SUGGESTED ROUTING KEY TOPICS Continuing Education Legal &amp; Compliance Registration Senior Management Continuing Education Firm Element Regulatory Element Executive Summary The Securities Industry/Regulatory Council on Continuing Education (Council), on which the National Association of Securities Dealers, Inc. (NASD®)
Notice to Members 02-62
INFORMATIONAL NAC Nominees SUGGESTED ROUTING KEY TOPICS Legal &amp; Compliance Senior Management National Adjudicatory Council Executive Summary The purpose of this Special Notice to Members is to announce the cominee for the National Adjudicatory Council (NAC) for the North region. The nominee, nominated for a three-year term beginning in January 2003, is listed