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2215. Communications with the Public Regarding Security Futures
(a) FINRA Filing Requirements (1) As set forth in paragraph (c)(2) of Rule 2210, a member must submit all retail communications concerning security futures to FINRA's Advertising Regulation Department at least 10 business days prior to first use. (2) The requirements of this paragraph (a) shall not be applicable to: (A) retail communications concerning security futures
2214. Requirements for the Use of Investment Analysis Tools
(a) General Considerations This Rule provides a limited exception to Rule 2210(d)(1)(F). No member may imply that FINRA endorses or approves the use of any investment analysis tool or any recommendation based on such a tool. A member that offers or intends to offer an investment analysis tool under this Rule (whether customers use the member's tool independently or with assistance
Notice to Members 97-35
SUGGESTED ROUTING Senior Management Internal Audit Legal & Compliance Operations Trading Executive Summary As requested by the Department of Treasury (Treasury) the NASD® provides members with information from the Office of Foreign Assets Control (OFAC) about persons and entities identified as "Specially Designated Nationals and Blocked1 Persons." On April 17, 1997, OFAC
Notice To Members 88-93
SUGGESTED ROUTING* Senior ManagementInstitutionalInternet AuditLegal & ComplianceOperationsTradingTraining *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY NASD members are advised that the Securities and Exchange Commission (SEC) has approved an amendment to the NASD Board of Governors' "Free-Riding and Withholding"
FINRA Fines Merrill Lynch, UBS for Supervisory Failures in Sales of Closed-End Funds; Customers Get More Than $5 Million in Remediation
Five Merrill Brokers Suspended, Fined; Investigation of Former UBS Brokers Continues
Notice to Members 99-74
Special NASD Notice to Members 99-74 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 Trading Training Variable Contracts National
Testimony Before the Finance and Hazardous Materials Subcommittee of the Commerce Committee
The NASD would like to thank the Subcommittee for this opportunity to testify on organized crime in the securities markets, the scope of the problem and our efforts to address it.
Regulatory Notice 19-03
FINRA Reminds ATS Subscribers and ATSs of the April 13, 2019, Effective Date for Disaggregated Transaction Reporting
Notice to Members 99-33
Comment Period Expires May 31, 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
Notice to Members 04-40
GUIDANCE Short Sale Reporting Requirements SUGGESTED ROUTING KEY TOPICS Executive Representatives Operations Trading ACT Reporting RequirementsIM-6130Rule 3350Rule 6130 Short Sale Reporting Requirements Executive Summary On May 20, 2004, NASD, through its subsidiary, The Nasdaq Stock Market, Inc. (NASDAQ), filed for immediate effectiveness