For Your Information

RIA COMPLIANCE TIPS

RECENT SEC NEWS

For Your Information

NASD NTM SUMMARIES

NOTES - NASD SMALL FIRMS - CHICAGO

IMPORTANT REMINDERS & UPCOMING DEADLINES

BUSINESS CONTINUITY PLANS

DID YOU KNOW...?

The North American Securities Administrators Association (NASAA), an organization comprised of State Regulators, provides broker/dealers, investment advisors and investors with helpful information and is working toward uniformity in many state rules and regulations. The NASAA recently published a report from 28 state regulators regarding examination deficiencies from their BD examinations. You can review this report at: http://www.nasaa.org/NASAA_Newsroom/Current_NASAA_Headlines/5281.cfm

The NASD has an International Department that can answer questions from US BDs on conducting business abroad. For more information visit:

http://www.nasd.com/RegulatoryServices/NASDInternationalServices/index.htm            

The Small Firm Advisory Board (SFAB) is an advisory committee established by the NASD Board of Governors in 1998. The SFAB exists to ensure that issues of particular interest and concern to small firms are effectively communicated to and considered by the NASD Board of Governors. If you have questions or concerns you can contact the SFAB by visiting the Small Firms information page on the NASD’s website at: