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Regulatory Notice 17-32
FINRA Reminds Firms of Sales Practice Obligations for Volatility-Linked Exchange-Traded Products
Notice to Members 03-16
INFORMATIONAL Alternative Trading Systems that Trade Security Futures Effective Date: March 31, 2003 SUGGESTED ROUTING KEY TOPICS Legal & ComplianceOperationsRegistered RepresentativesSenior ManagementTrading Alternative Trading Systems (ATSs)Security Futures Executive Summary On January 27, 2003, the Securities and Exchange Commission (SEC) approved rule
SR-NASD-2003-007
NASD has filed with the SEC a proposed rule change to amend NASD Rules 1014 and 1017. The proposed amendments to Rule 1014 would clarify the current standards of membership admission by specifically identifying as a decisional criteria the existence of unpaid arbitration awards or other adjudicated customer awards, as well as pending arbitration claims, and expand the application of Rule 1014 to
Oral Statement Before the Senate Committee on Governmental Affairs Hearing On Analyst Independence
Mr. Chairman, Senator Thompson, Members of the Committee, thank you for this opportunity to testify.
Notice to Members 02-15
INFORMATIONAL Trade Date—Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date—Settlement Date Schedule Good Friday: Trade Date—Settlement Date Schedule The Nasdaq Stock Market and the securities exchanges will be closed on Good Friday,
No 401(k)? No Problem
Saving for retirement can be daunting, so it’s no surprise that employer-sponsored retirement plans can be a key stepping-stone into the world of investing—and through your investments, to a healthy retirement nest egg. Don’t have access to an employer-sponsored plan? No problem. Here are 5 ways to start saving today.
2012 Dispute Resolution Statistics
Summary Arbitration Statistics December 2012 New Case Filings through December: 2010 5,680 2011 4,729 2012 4,299 2012 vs 2011 -9% Number of Cases Closed through December: 2010 6,241 2011 6,099 2012 4,877 2012 vs 2011 -20% Turnaround Time1 (in months) through December: Year
Notice to Members 01-49
INFORMATIONAL Trade Date — Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date — Settlement Date Schedule Labor Day: Trade Date — Settlement Date Schedule The Nasdaq Stock Market® and the securities exchanges will be closed on Monday,
Notice to Members 01-34
INFORMATIONAL Trade Date — Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date — Settlement Date Schedule Memorial Day: Trade Date — Settlement Date Schedule The Nasdaq Stock Market® and the securities exchanges will be closed on Monday, May
Notice to Members 00-77
INFORMATIONAL Trade Date — Settlement Date SUGGESTED ROUTING KEY TOPIC Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date — Settlement Date Schedule Thanksgiving Day: Trade Date-Settlement Date Schedule The Nasdaq Stock Market® and the securities exchanges will be closed on Thursday,