The first Annual Meeting of the Financial Industry Regulatory Authority (FINRA) members will be October 26, 2007.
The formal notice of the meeting, including the time and location, will be mailed on or about September 21, 2007. The individuals nominated by the former NASD Board of Governors and/or the Board of Directors of NYSE Group, Inc. for election to the FINRA Board of Governors (FINRA
TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers, Inc. ("Association" or "NASD") is requesting comments on proposed amendments to the Corporate Financing filing requirements which would exempt from those requirements all debt and equity securities registered with the Securities and Exchange Commission ("SEC" or "
Notice of FINRA Small Firm Advisory Board Election and Ballots
Member may not present related performance information to "qualified institutional buyers" who are potential investors in 3(c)(1) funds.
Joint NASD and NYSE interpretation that individuals involved in the development of certain quantitative equity research ratings model are not “research analysts” as defined by the SRO research analyst conflict of interest rules.
TO: All NASD Members and NASDAQ Subscribers
The Securities and Exchange Commission has recently authorized the expansion of the number of securities eligible for trading by our members through the linkage between the Intermarket Trading System (ITS) and the Computer Assisted Execution System (CAES). This linkage was mandated by the Commission in its order dated April 21, 1981, the first phase of
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, March 18, 1996. The information relating to matters contained in this section is current as of March 5, 1996. Information received subsequent to March 5, 1996 is not reflected in this section.
Firm Expelled, Individuals Sanctioned
Domestic Capital, Inc. (Buffalo, New York), Michael A. Wier (Registered
Notice of Annual Meeting of FINRA Firms and Proxy
<p>Applicability of Rule 3040 to investment advisory activities of an individual who is dually registered as a registered representative and a registered investment advisor.</p>
NASD Informs Members Of Upcoming Nomination Procedures For Industry Member Vacancies On The National Adjudicatory Council
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