SR-FINRA-2009-021 -
Proposed Rule Change to Codify the Extended Hours Trading Risk Disclosure Obligation as New FINRA Rule 2265
SR-FINRA-2007-006 - Proposed Rule Change Regarding Historic TRACE Data
District Elections
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KEY TOPICS
Legal & Compliance Operations Registration Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the election results for the District Committees and the District Nominating Committees. The newly elected District Committee members will serve until 2006.
District 10 (New York)
Hypothetical illustration required by state law does not constitute "sales literature" under Rule 2210.
Proposed Rule Change to Amend FINRA Rule 8312 (BrokerCheck Disclosure)
INFORMATIONAL
Broker-Dealer, Investment Adviser and Individual (AG/RA) Renewals 2005
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KEY TOPICS
Executive RepresentativesLegal & ComplianceOperationsRegistered RepresentativeRegistrationSenior Management
RegistrationRenewalsWeb CRD®IARDSMMaintenance Fees
Executive Summary
The 2005 NASD Broker-Dealer and Investment Adviser Registration
<p>Use of Modified Corporate Name</p>
<p>Clarification of application of OATS rules to customer allocations of executions.</p>
June 21, 2002
NASD OATS staff is adjusting its compliance sweep process by combining several current sweep processes into one. The new sweep will be known as the OATS Integrated Sweep and will commence with the 1st Quarter 2002 OATS data. The integrated sweep process has been designed to make regulatory reviews and inquiries more comprehensive and efficient. The integrated sweep allows for
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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
Executive Summary
NASD Regulation, Inc. (
