Displaying 4011 - 4020 of 9470 Results
Notice To Members 91-38
SUGGESTED ROUTING:* Senior Management Legal & Compliance Operations Trading *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY Since November 1990, members have been able to negotiate transactions through the SelectNetSM
Johnathan Durr Comment On Regulatory Notice 22-08
I am completely in agreement with this rule. Uneducated investors should not be investing in things they dont understand. Keep up the good work FINRA.
ATS Transparency – Phase 1
Effective May 12, 2014, FINRA Rule 4552 requires each Alternative Trading System (ATS) that has filed a Form ATS with the SEC to report to FINRA its aggregate weekly volume information and number of trades, by security, per ATS in both equity securities and debt securities subject to FINRA trade reporting requirements.
Julio Comment On Regulatory Notice 21-19
Please enforce or change rules for short selling
Rulemaking Items for Discussion at the April 2014 Meeting
Rulemaking Items for Discussion at the April 2014 Meeting
Regulatory Notice 16-30
FINRA Reminds Firms of their Obligation to Report Accurately the Time of Execution for Transactions in TRACE-eligible Securities
Notice To Members 94-93
Comment Period Expires January 31, 1995 SUGGESTED ROUTING Senior ManagementLegal & ComplianceOperations Executive Summary At its November 1994 meeting, the NASD Board of Governors (Board) approved the issuance of a Notice to Members soliciting member comment on a proposed amendment to Article III of the Rules of Fair Practice. The proposed rule would require registered persons to
Notice To Members 93-29
SUGGESTED ROUTING Senior ManagementCorporate FinanceLegal & ComplianceOperationsSyndicateTradingTraining Executive Summary The Securities and Exchange Commission (SEC) has approved an exception to SEC Rule 10b-6 (Rule 10b-6) and a new companion rule, Rule 10b-6A, under the Securities Exchange Act of 1934 to permit "passive market making" in certain distributions of
Regulatory Notice 12-05
Verification of Emailed Instructions to Transmit or Withdraw Assets From Customer Accounts
Notice To Members 94-82
Comment Period Expires November 30, 1994 SUGGESTED ROUTING Senior ManagementCorporate FinanceLegal & ComplianceSyndicate Executive Summary The NASD is requesting comment on an amendment to its Corporate Financing Rule (the Rule) relating to rights of first refusal granted to underwriters and related persons in connection with the distribution of public offerings. The amendment