INFORMATIONAL
NAC Nominees
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to announce the
proposed nominees for the National Adjudicatory Council (NAC)
from the New York and West Regions. The nominees, nominated
for three-year terms beginning January 2007, are
Guidance on Rules Governing Communications With the Public
SUGGESTED ROUTING
Senior Management
Government Securities
Legal & Compliance
Registration
Training
Executive Summary
On August 25, 1997, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD®) Rules
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Rule 6740
SEC Rule 15c2-11
SEC Rule 15c3-3
Executive Summary
NASD is issuing this Special Notice to Members (Special NTM) to
advise member firms and other interested parties of certain
actions and issues relating to the
INFORMATIONALSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesBoard ElectionsExecutive SummaryThe Annual Meeting of Members of NASD will be held on January 4, 2005, at 11:00 am, at the NASD Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to conduct the election of Governors to the NASD Board. Members can raise other topics for discussion by properly
FINRA Reminds Firms of November 25, 2014 Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
The Cybersecurity section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
