The NASD® published the following Notices to Members during 95. Duplicate copies are available at $25 per monthly or special issue. A 2-volume bound-set, indexed reprint of the entire year's Notices, is also available at $150. Requests, accompanied by a self-addressed mailing label and a check payable to the National Association of Securities Dealers, Inc., or credit card information,
I would like to continue to invest in leveraged funds. A test is excessive, but a simple video that must be viewed would be okay
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of June 12, 1991, the following 38 issues joined Nasdaq/NMS, bringing the total number of issues to 2,560:
Symbol
Company
Entry Date
SOES Execution Level
OWWH
OW Office Warehouse, Inc.
5/15/91
500
DNKG
Danek Group, Inc.
5/17/91
1000
FINRA assesses and collects regulatory fees that fund FINRA’s regulatory activities, including the Gross Income Assessment (GIA), Personnel Assessment and Branch Assessment Fees, as well as user fees for the services FINRA provides.
TO: All NASD MembersAll Level 2 and Level 3 SubscribersOther Interested Persons
EXECUTIVE SUMMARY
On May 15, 1987, the Midwest Stock Exchange (MSE) will begin trading 25 NASDAQ National Market System (NASDAQ/NMS) securities under the SEC-approved National Association of Securities Dealers/Midwest Stock Exchange joint unlisted trading privileges (UTP) program. This notice explains the operation
(a) Before Panel Appointment
Except as provided in paragraph (c), a party may amend a pleading at any time before the panel has been appointed. Panel appointment occurs when the Director sends notice to the parties of the names of the arbitrators on the panel.
(1) To amend a statement of claim that has been filed but not yet served by the Director, the claimant must file the amended
As we continue to evolve in a rapidly changing financial landscape, it is essential to consider how hybrid work arrangement has contributed to making employees feel that they have more of a work / life balance & supports retention & productivity. As firms compete for top talent, offering flexibility has become a crucial factor in attracting & retaining skilled
December 6, 2021FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by Vice President of Testing and Continuing Education (CE) David Scrams to discuss the CE Transformation including information on the Maintaining Qualifications Program and the transition to an annual Regulatory Element requirement. Senior staff also discuss
Background
FINRA administers qualification examinations that are designed to establish that persons associated with broker-dealers have attained specified levels of competence and knowledge pertinent to their function. Over time, the qualification examination program has increased in complexity to address new products and functions, and related regulatory concerns and
On Monday, December 2, 2019, FINRA will expand the summary firm data relating to over-the-counter (OTC) equity trading that FINRA publishes on its website.
Beginning on December 2, 2019, FINRA will provide:
new monthly aggregate block-size trading data for OTC trades in NMS stocks executed outside an alternative trading system (ATS) on a one-month delayed basis; and
aggregate non-ATS volume
