FINRA Highlights Examination Approaches, Common Findings and Effective Practices for Complying With its Suitability Rule
Remarks From the SIFMA Compliance and Legal Division's Annual Seminar
Comment Period Expires September 13, 1999
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Executive Summary
Supervision Frequently Asked Questions (FAQ)
FINRA Requests Comment on a Revised Proposal to Adopt Consolidated FINRA Rule 2231 (Customer Account Statements)
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Manning Obligations
Effective Date: January 2, 2006
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IM-2110-2
Limit Orders
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On August 4, 2005, the Securities and Exchange Commission (SEC) approved amendments to Interpretive Material (IM)-2110-2, Trading Ahead of Customer Limit
Frequently asked questions and answers
REQUEST FOR COMMENT
Best Execution
Comment Period Expires on: August 9, 2002
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Executive Summary
NASD requests comment from members, investors, and other interested parties on proposed amendments to NASD Rule 2320(a) (
Mr. Chairman and Members of the Committee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
