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Regulatory Notice 10-52
Application of Rules on Communications With the Public and Institutional Sales Material and Correspondence to Certain Free Writing Prospectuses
Regulatory Notice 10-43
Amendments to FINRA Rules on Trading Pauses Due to Extraordinary Market Volatility and Clearly Erroneous Transactions in Exchange-Listed Securities
Regulatory Notice 10-35
SEC Approval and Effective Date for New Consolidated FINRA Rule
Notice to Members 01-81
INFORMATIONAL Conduct Of Business Abroad SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registration Senior Management Business Abroad Executive Summary The National Association of Securities Dealers, Inc. (NASD®) is issuing this Notice to Members as part of its continuing effort to provide members with guidance on complying with rules that govern
Regulatory Notice 10-30
SEC Approves Amendments Permitting FINRA to Halt Trading by Firms Otherwise Than on an Exchange Where a Primary Listing Market Has Issued a Trading Pause Due to Extraordinary Market Volatility
Notice to Members 01-54
INFORMATIONAL Minor Violations Of Rules And Late Fees SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Minor Rule Violation Plan Schedule A of the NASD By-Laws Executive Summary On July 3, 2001, the Securities and Exchange Commission (SEC) approved rule changes proposed by the National Association of Securities Dealers, Inc. (NASD®) that
Regulatory Notice 10-24
SEC Approves Amendments to Require Reporting of OTC Trades in Equity Securities Within 30 Seconds of Execution
Election Notice – 9/4/19
Summary The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA on proposed policies and
Notice to Members 06-44
GUIDANCE Trading Activity Fee SUGGESTED ROUTING KEY TOPICS Legal & Compliance Registered Representatives Senior Management Trading NASDAQ Exchange Registration Trading Activity Fee Executive Summary NASD is issuing this Notice to supersede NASD Notice to Members (NTM) 06-37 and replace the guidance provided in that Notice relating to the application of the Trading
Regulatory Notice 10-13
SEC Approves Amendments to the FINRA Rule 9550 Series Governing Expedited Proceedings