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National Association of Securities Dealers, Inc. Notice Of Nominees
The Annual Meeting of members of the National Association of Securities Dealers, Inc. (NASD®) will be held on December 21, 1998. A notice of meeting, including the precise date, time, and location of the Annual Meeting, will follow on or about
Sec. 4. At each meeting of the members, the polls shall be opened and closed, the proxies and ballots received and taken in charge, and all questions touching the qualification of voters and the validity of proxies and the acceptance or rejection of votes shall be decided by an inspector appointed by the Secretary of the Corporation before the meeting, or in default thereof by the
Sec. 1. Under no circumstances shall the Board or any officer, employee, or member of the Corporation have the power to:
(a) make any donation or contribution from the funds of the Corporation or to commit the Corporation for the payment of any donations or contributions for political or charitable purposes; or
(b) use the name or the facilities of the Corporation in aid of any
Sec. 2.1 The address of the registered office of FINRA Dispute Resolution in the State of Delaware and the name of the registered agent at such address shall be: Corporate Creations Network Inc., 1308 Delaware Avenue, Wilmington, Delaware 19806. FINRA Dispute Resolution also may have offices at such other places both within and without the State of Delaware as the Board may from time
Executive Summary
The NASD® requests member comments on proposed amendments that would revise existing rules applicable to the sale of variable life insurance contracts and establish new rules applicable to the sale of variable annuity contracts. The proposed amendments incorporate definitions and provisions from the current rules for variable contracts and investment company securities and the
The federal govts job is NOT to rule our lives. The right to pursue happiness & make investments is our right & is not to be controlled by ANY govt office. Im certain elected officials with exempt themselves from such control.
Executive Summary
The Federal Election Campaign Act requires federal candidates and political committees that influence federal elections to file various reports and statements with the Federal Election Commission (FEC) and state governments, including lists of individual contributors. These reports and statements may be inspected and copied by anyone, but the names and addresses of individual
Application of registration and supervisory requirements to certain activities conducted by a member firm in the U.S. relating to sales outside the U.S. of foreign mutual funds.
Registration requirements of a member if a registered principal begins consulting relationship with the member as a compliance officer.<br/>
The Neutral Corner—Volume 1, 2020
Mission Statement
Office of Dispute Resolution and FINRA News
COVID-19 Notice to Parties and Arbitrators
Case Filings and Trends
2019 Arbitrator and Mediator Diversity Statistics
Removal of the Award Information Sheet from FINRA's Website
Register for the Portal
Portal How-to Videos
Rule Approval
Amendments to FINRA Rule 12000 Series to Expand
