Displaying 30081 - 30090 of 34045 Results
Notice To Members 88-104
SUGGESTED ROUTING* Senior Management Internal Audit Legal & Compliance Operations Systems Trading *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The board Govenors of the National association of Securities
Notice To Members 89-1
SUGGESTED ROUTING* Senior Management Legal & Compliance *These are suggested departments only. Others may be appropriate for your firm. IMPORTANT MAIL VOTE EXECUTIVE SUMMARY The NASD invites members to vote on a proposed amendment to Article VIII, Section 5 of the NASD By-Laws that would
Notice To Members 89-2
SUGGESTED ROUTING* Senior Management Legal & Compliance Operations Trading *These are suggested departments only. Others may be appropriate for your firm. IMPORTANT MAIL VOTE EXECUTIVE SUMMARY Members are invited to vote on a proposed new Section 44 to Article III of the
Notice To Members 89-3
SUGGESTED ROUTING* Senior Management Internal Audit Legal & Compliance Operations *These are suggested departments only. Others may be appropriate for your firm. REQUEST FOR COMMENTS EXECUTIVE SUMMARY The NASD invites comments on a proposed rule that would restrict the
Notice To Members 89-4
SUGGESTED ROUTING* Senior Management Internal Audit Legal & Compliance Operations Registration Systems *These are suggested departments only. Others may be appropriate for your firm. REQUEST FOR COMMENTS EXECUTIVE SUMMARY The NASD is requesting comment on a
Notice To Members 89-5
SUGGESTED ROUTING* Senior Management Corporate FinanceLegal & ComplianceOperationsTradingTraining *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY Congress passed the Insider Trading and Securities Fraud Enforcement Act of 1988, which became effective on November 19, 1988, and augments enforcement of the securities laws, particularly
Notice To Members 89-6
SUGGESTED ROUTING* Senior ManagementLegal & ComplianceOperationsRegistration *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY State participation in CRD Phase II, the Form BD (Uniform Application for Broker-Dealer Registration) and Form BDW (Uniform Request for Broker-Dealer Withdrawal) processing phase of the CRD system will begin
Monthly Disciplinary Actions June 2015
SR-FINRA-2015-018
Proposed Rule Change to Revise the Series 4 Examination Program
OATS Guidance on the June 30, 2015 Leap Second
On June 30th of this year, a leap second will be added after 23:59:59 GMT.