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Notice to Members 05-02
GUIDANCE Corporate Debt Securities SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal and Compliance Operations Senior Management Technology Trading and Market Making Training Debt Securities Dissemination of Transaction Information Operations Rule 6200 Series TRACE Rules Transaction Reporting Executive Summary NASD is implementing recent amendments to Rule 6250
Notice to Members 05-01
INFORMATIONAL Broker-Dealer, Investment Adviser and Individual (AG/RA) Renewals 2005 SUGGESTED ROUTING KEY TOPICS Executive RepresentativesLegal & ComplianceOperationsRegistered RepresentativeRegistrationSenior Management RegistrationRenewalsWeb CRD®IARDSMMaintenance Fees Executive Summary The 2005 NASD Broker-Dealer and Investment Adviser Registration
Notice to Members FYI December 2004
NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports by their due dates.
Regulatory Notice 10-24
SEC Approves Amendments to Require Reporting of OTC Trades in Equity Securities Within 30 Seconds of Execution
Regulatory Notice 10-23
SEC Approves Reporting Asset-Backed Securities Transactions to TRACE and Related Fees
Information Notice - 4/20/10
Change for Scheduling Exam and CE Sessions
Regulatory Notice 10-22
Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings
Regulatory Notice 10-21
SEC Approval and Effective Date for New Consolidated FINRA Rules and the Repeal of Certain NASD and Incorporated NYSE Rules
Regulatory Notice 10-20
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Information Notice 4/15/10
Continuing Education Planning