SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Systems
Trading
Executive Summary
In 1996 there was an abundance of news and magazine articles, web pages, and special hearings in Congress designed to promote awareness of the Year 2000 (Y2K) challenge and to communicate information about the potential
Remarks by Executive Vice President Thomas M. Selman at the IRI Government, Legal and Regulatory Conference
Remarks by Chairman and CEO Richard Ketchum at the FINRA Annual Conference
SEC Approves Consolidated FINRA Rule Governing Reporting Requirements
SUGGESTED ROUTINGSenior ManagementAdvertisingLegal & ComplianceMutual FundTraining Executive SummaryThis Notice sets forth the policy of NASD Regulation, Inc. (NASD RegulationSM) applicable to electronic delivery of information between members and their customers as required or permitted by National Association of Securities Dealers, Inc. (NASD®) Rules.1Questions concerning this
Thank you for that kind introduction. It's a pleasure to be here with you this morning. Two weeks ago, I had the opportunity to speak at the Museum of Financial History.
FINRA Requests Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules
FINRA has made every effort to make the CE Program as user friendly as possible for all participants, regardless of physical, sensory or cognitive ability.In most cases, participants who have required accommodations in the past will no longer need to apply for accommodations when using the CE Program, which offers the following features:Allows participants to complete the CE Regulatory
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The NASD is publishing Suggested Escrow Agreement Provisions and Suggested Language for Selected Dealer Agreements to assist members and their counsel in complying with SEC Rule 15c2-4.
BACKGROUND AND SUMMARY
Through its review of public offerings of securities conducted by the Corporate Financing Department, the NASD has the
Executive Summary
The annual meeting of FINRA firms will take place on or about Monday, August 19, 2019, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about July 19, 2019.
The purpose of this
