Displaying 2651 - 2660 of 2992 Results
Election Notice - 7/5/13
Notice of Annual Meeting of FINRA Firms and Proxy
Notice To Members 92-70
SUGGESTED ROUTING:* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr., Day, Monday
Election Notice - 9/5/12
Upcoming Election to Fill FINRA District Committee Vacancies
Notice To Members 89-9
SUGGESTED ROUTING* Senior ManagementInternal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr
Notice To Members 88-100
SUGGESTED ROUTING* Senior ManagementCorporate FinanceLegal & Compliance *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY NASD members are advised that their participation in certain transactions with blind-pool companies may be inconsistent with the provisions of Schedule E to the NASD By-Laws. The merger or acquisition of an NASD
Regulatory Notice 13-39
SEC Approves Amendments to FINRA Rule 2360 (Options) and FINRA Rule 4210 (Margin Requirements) in Connection With Over-the-Counter Options Cleared by the OCC
III. Distributions of Securities [Version up to February 28, 2019]
•  Corporate Financing Rule—Failure to Comply With Rule Requirements •  Engaging in Prohibited Municipal Securities Business •  Escrow Violations—Prohibited Representations in Contingency Offerings; Transmission or Maintenance of Customer Funds in Underwritings •  Restrictions on the Purchase and Sale of
Notice To Members 88-84
SUGGESTED ROUTING*Senior ManagementLegal & ComplianceOperationsRegistrationTradingTraining*These are suggested departments only. Others may be appropriate for your firm.EXECUTIVE SUMMARYOn October 13, 1988, the Securities and Exchange Commission approved amendments to Article III, Section 27 of the Rules of Fair Practice and conforming amendments to Article I of the By-Laws and Schedule C
Notice To Members 88-44
ROUTE TO Senior Management Legal & Compliance Operations Other IMPORTANT MAIL VOTE EXECUTIVE SUMMARY The WASL invited to Article III, Section 27 ID flutes of Fair Practice and planS: .Amendment to Article 1 of the NASD 5. The proposed amendments to Article III, Section 27 would
Regulatory Notice 11-26
SEC Approves Consolidated Financial Responsibility and Related Operational Rules