When used in these By-Laws, unless the context otherwise requires, the term:
(a) "Act" means the Securities Exchange Act of 1934, as amended;
(b) "Board" means the Board of Directors of FINRA Regulation;
(c) "broker" shall have the same meaning as in Section 3(a)(4) of the Act;
(d) "Commission" means the Securities and Exchange Commission;
(e) "
<p>NASD Rule 1020 Series - Registration of Principals</p>
FINRA Dispute Resolution (FINRA) had a busy year in 2009. In addition to the
large increase in case filings, we implemented several new rules resulting in
additional training for arbitrators.
Testimony by Vice Chairman Stephen Luparello Before the Subcommittee on Securities, Insurance, and Investment
INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Board Elections
The Annual Meeting of Members of NASD will be held on January 6, 2004, at 11:00 am, at the NASD Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to conduct the election of Governors to the NASD Board. Members
Summary
Investment professionals often develop close and trusted relationships with their customers, which in some instances have resulted in the investment professional being named the customer’s beneficiary, executor or trustee, or holding a power of attorney or a similar position for the customer. Being a customer’s beneficiary or holding a position of trust may present significant conflicts
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
FINRA’s Corporate Internship Program—a paid 12-week program—offers practical “hands-on” experience with the largest self-regulatory organization for securities firms doing business in the United States. Our program offers interns opportunities to build their careers—and supplement what they’ve learned in the classroom—by meeting and working with employees throughout our organization.Our program
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Mutual Fund
Training
Executive Summary
The NASD® is publishing this Notice to clarify its position on the use of logos and names of banks and other financial institutions under the current NASD rules and regulations and the federal securities laws generally.
Discussion
In the November 1994 account
TO: All NASD Members
LAST DATE FOR COMMENT: APRIL 28, 1985
The National Association of Securities Dealers, Inc., is requesting comment on proposed rule amendments which would require that companies with securities included in the NASDAQ National Market System (NASDAQ/NMS) adhere to certain standards of corporate governance. This notice contains a discussion of the background of these rules and a
