Displaying 18041 - 18050 of 33958 Results
Notice to Members 99-29
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
Notice to Members 99-30
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts As of February 19, 1999, the following bonds were added to the Fixed
Notice to Members 99-31
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts Memorial Day: Trade Date-Settlement Date Schedule The Nasdaq Stock
SR-FINRA-2017-011
Proposed Rule Change to Adopt a Fee Schedule to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Notice to Members - April 1999
Various updates.
Notice to Members 97-76
SUGGESTED ROUTING Legal & Compliance Operations Systems Trading Executive Summary The Nasdaq Stock Market, Inc. (Nasdaq®) Board of Directors approved, and the National Association of Securities Dealers, Inc. (NASD®) Board of Governors rati- fied, a decision to allow NASD Rule 4613(d)—the "excess spread" rule for Nasdaq securities—to lapse as of October
Notice to Members 97-77
Comment Period Expires: December 31, 1997 SUGGESTED ROUTING Senior Management Legal & Compliance Registered Representatives Registration Executive Summary NASD Regulation, Inc. (NASD RegulationSM) requests comment on a proposed new rule, National Association of Securities Dealers, Inc. (NASD®) Rule 1150 (Rule), which would provide NASD members with a qualified
Notice to Members 99-32
Comment Period Expires May 31, 1999 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
Notice to Members 99-35
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
Notice to Members 97-78
SUGGESTED ROUTING Senior Management Internal Audit Legal & Compliance Operations Executive Summary On September 10,1997, the Securities and Exchange Commission (SEC) approved new National Association of Securities Dealers, Inc. (NASD® Conduct Rule 2280, Investor Education and Protection, which requires certain NASD members to provide customers with the following