SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
On August 7, 1997, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD®) Code of Procedure setting forth, among other things, general procedures for
If your firm is undergoing a change in organization due to a merger, acquisition, or succession, it may affect the ways in which you interact with FINRA, such as your membership application and system-related privileges. In order to make your firm's transition easier, we have compiled a checklist of steps to consider when undergoing such a change.
Effective Date: February 1, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceSyndicate
Executive Summary
On November 10, 1993, the Securities and Exchange Commission (SEC) approved an amendment to Subsection (b)(7)(C) to Article III, Section 44 of the Rules of Fair Practice clarifying that the exemptions from the filing requirements of
GUIDANCEShort Sale RequirementsSUGGESTED ROUTINGKEY TOPICSInternal AuditLegal & ComplianceOperationsRegistered RepresentativesSenior ManagementSystemsTradingTrainingOATSRule 3110Rule 3210Rule 3350Rule 3370Rule 11830Rules 6950–6957Short SalesExecutive SummaryOn June 23, 2004, the Securities and Exchange Commission (SEC) adopted certain provisions of a new short sale regulation, designated
INFORMATIONAL
Revised Forms U-4 And U-5
Effective Date: March 18, 2002
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
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Operations
Registered Representatives
Registration
Senior Management
Training
Central Registration / Depository System
IM-8310-2
Investment Adviser / Representatives
U-4
U-5
Executive Summary
The Securities and Exchange
FINRA Announces Approval of and Implementation Date for Securities Trader and Securities Trader Principal Registration Categories and Related Qualification Examination, Fee and Continuing Education Requirements
INFORMATIONALMarginSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceOperationsSenior ManagementCustomer DisclosuresMargin Executive SummaryOn September 5, 2000, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) a rule proposal that would require members to deliver to non-institutional customers a specified
Comment Period Expires May 31, 1999
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
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Insurance
Internal Audit
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Municipal
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Operations
Options
Registered Representatives
Registration
Good morning, welcome to Baltimore, and thank you for attending the FINRA annual conference. It’s nice to see so many familiar faces here today.
<p>Short Sale Netting Requirements and Aggregation Units<br />
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