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SR-FINRA-2017-028
Proposed Rule Change to Implement a New Electronic Form 211
TRACE Security Activity Report (TSAR) File Layout
Position Field Long Name Description 1 Security For CUSIP version. Security Identifier assigned by Standard & Poors 2 Symbol TRACE Symbol as defined by FINRA 3 BB Symbol Bloomberg Identifier 4 Issuer Name Issuer
Planning Ahead—Have You Chosen Your Beneficiaries?
It’s tempting to put off until tomorrow some of the important decisions about what happens to your retirement assets when you die. But it pays to plan ahead, especially for accounts that aren’t transferred by will or trust. Start here: Make sure there are designated beneficiaries for any retirement savings plans and pensions you own or may be entitled to.
Notice to Members 99-13
SUGGESTED ROUTING 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 On December 3, 1998, the
Notice to Members 98-16
SUGGESTED ROUTING Senior Management Government Securities Legal & Compliance Registration Training     Executive Summary     On August 25, 1997, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD®) Rules
Election Notice – 8/21/17
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Notice to Members 98-17
SUGGESTED ROUTING Senior Management Executive Representatives Legal & Compliance Registration Trading Training     Executive Summary     The Securities and Exchange Commission (SEC) recently approved amendments to the National Association of Securities Dealers, Inc. (NASD®)
Regulatory Notice 17-25
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Expedited List Selection
SR-FINRA-2017-027
Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities with Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Activities)
Notice to Members 98-18
SUGGESTED ROUTING Senior Management Advertising Legal & Compliance Mutual Fund Training Executive Summary NASD Regulation, Inc. (NASD RegulationSM) is clarifying the application of the annual compliance meeting requirements of National Association of Securities Dealers, Inc. (NASD®) Rule 3010. Such meetings may be conducted by electronic means, provided certain