Displaying 2081 - 2090 of 2388 Results
FAQ regarding Order Audit Trail System (OATS) Compliance
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
Testimony on Banking, Housing, and Urban Affairs
Hearing to Review Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry: The Regulatory Landscape
Regulatory Notice 08-73
SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications; Effective Date: March 4, 2009
Notice to Members 07-07
GUIDANCE Code of Arbitration Procedure SUGGESTED ROUTING KEY TOPICS Legal and Compliance Registered Representatives Senior Management Training Arbitration Code of Arbitration Procedure Dispute Resolution Mediation Executive Summary The Securities and Exchange Commission (SEC) has approved the NASD Codes of Arbitration Procedure for Customer and Industry Disputes (
Special Notice – 2/14/20
Summary FINRA has multiple committees that facilitate effective engagement with its member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection in a manner that facilitates vibrant capital markets. The purpose of this Notice is to: encourage member firms and other interested parties
Regulatory Notice 13-07
FINRA Requests Comment on Proposed FINRA Rules Governing Markups, Commissions and Fees
Notice To Members 92-21
SUGGESTED ROUTING:* Senior ManagementInternal AuditOperationsTrading*These are suggested departments only. Others may be appropriate for your firm. On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market securities was established as follows: A 1,000-share maximum order size was applied to those Nasdaq National Market securities that
Notice To Members 91-69
SUGGESTED ROUTING:* Senior ManagementLegal & ComplianceTrading*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The NASD recently completed a study of secondary market trading in direct participation program (DPP) securities. As a result, this notice is being issued to emphasize the applicability and relevance of certain NASD rules
Regulatory Notice 12-25
Additional Guidance on FINRA’s New Suitability Rule
Notice to Members 00-34
INFORMATIONAL District Elections SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registration Senior Management District Elections Executive Summary The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on the District Committees and the District Nominating