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Notice to Members 05-50
GUIDANCE Equity-Indexed Annuities SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registered Representatives Senior Management Executive Representatives Insurance Variable Contracts Equity-Indexed Annuities Rule 3030 (Outside Business Activities of an Associated Person) Rule 3040 (Private
Information Notice - 9/7/10
August 2010 Supplement to the Security Futures Risk Disclosure Statement
Notice to Members 04-94
INFORMATIONALSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsRegistrationSenior ManagementDistrict ElectionsExecutive SummaryArticle VIII, Section 8.32 of the NASD Regulation, Inc. By-Laws (the By-Laws) permits the Secretary of NASD Regulation, in extraordinary circumstances and with the approval of the NASD Executive Committee or the NASD Board of Governors, to adopt additional
Trade Reporting Notice – 11/7/11
Asset-Backed Securities Transaction Reporting Pilot Program Expires November 18, 2011
Regulatory Notice 15-47
SEC Approves Amendments to Require Firms to Add a No-Remuneration Indicator in TRACE Trade Report
Notice to Members 04-52
GUIDANCEShort SalesSUGGESTED ROUTINGKEY TOPICSInternal AuditLegal & ComplianceOperationsSenior ManagementTradingAffirmative DeterminationRule 3370(b)(2)(B)Rule 3370(b)(5)(B)Short SalesExecutive SummaryThere has been discussion in the financial press about the listing of securities on foreign markets without a company's knowledge or authorization. Some reports have suggested that the
Information Notice 7/10/14
Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Regulatory Notice 14-49
SEC Approves Amendments to the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing Session Fees
Regulatory Notice 12-37
SEC Approves Amended Minimum Quotation Sizes for OTC Equity Securities on a Pilot Basis
Notice to Members 03-65
INFORMATIONAL Sanction Guidelines SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Registered Representatives Senior Management NASD Sanction Guidelines Rule 3030 Outside Business Activities Rule 3040 Selling Away Recidivists Executive Summary The NASD Sanction Guidelines (