Resources
National Association of Securities Dealers (NASD)
FINRA – The Financial Industry Regulatory Authority
Securities Industry Association
Commodity Futures Training Commission
National Futures Association
Municipal Securities Rule Making Board
North American Securities Administrators Association, Inc (NASAA)
The Financial Services Authority
Notice to Members (NTM) 99-45 (June 1999)
Rule 3010(a)(7) - Annual Compliance Meeting
NASD Rule 3010 – Supervision (Letter to Mr. Charkes)
Exchanges
New York Stock Exchange (NYSE)
American Stock Exchange
Boston Stock Exchange
Chicago Board Options Exchange
Chicago Stock Exchange
Cincinnati Stock Exchange
The NASDAQ Stock Market
Pacific Exchange, Inc.
Philadelphia Stock Exchange

