Displaying 1661 - 1670 of 2388 Results
Information Notice - 4/2/12
FINRA Surveys to Update the Series 27, 28 and 55 Qualification Examinations
Election Notice - 7/30/10
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
Regulatory Notice 11-17
Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings
Information Notice - 6/28/11
FINRA Surveys to Update the Series 6, 16, 24 and 26 Exams
Regulatory Notice 17-30
SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements
Notice to Members 05-45
Executive Summary This Notice advises broker-dealers engaged in the business of agency securities lending that the Agency Lending Disclosure Taskforce (Industry Taskforce), composed of, among others, representatives of the securities industry, regulators, and the Depository Trust & Clearing Corporation (DTCC), has recommended, through its Agency Lending Disclosure Initiative, certain
Regulatory Notice 16-33
FINRA Adopts Amendments Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only
Notice to Members 03-36
INFORMATIONAL Corporate Debt Securities SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal and Compliance Operations Senior Management Technology Trading and Market Making Training Debt Securities Operations Rule 6200 Series Transaction Reporting Executive Summary On June 18, 2003, the Securities and
Notice to Members FYI January 1997
For Your Information
Notice to Members 00-50
INFORMATIONAL Restrictions On Unregistered Persons SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Operations Registered Representatives Registration Senior Management Training Cold Calling Telemarketing Unregistered Persons Executive Summary In light of recent federal law, NASD Regulation, Inc. (NASD RegulationSM) has withdrawn its rule