To be approved as a FINRA member firm, the Form NMA and supporting documentation must satisfy the Standards of Admission set forth in NASD Rule 1014 and all other statutory and regulatory requirements.
GUIDANCE
Research Analysts and Research
Reports
Compliance Date: June 6, 2005
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KEY TOPICS
Executive Representatives
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Legal & Compliance
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Investment Banking
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Executive Summary
The Securities and Exchange Commission (SEC) has
I am AGAINST passage of FINRA’s Regulatory Notice 22-08 taking effect. I trade indexed ETF's over short time horizons, am aware of, and am satisfied with the risk acceptance protocol followed by the service providers. I DO NOT WANT ACCESS TO COMPLEX PRODUCTS RESTRICTED.
This is a free enterprise country. It would be, in my opinion, unlawful to interfere with a newer and probably better monitary system.
As previously announced, on Monday, April 27, 2015, FINRA will implement technical changes across all of its TRACE data feeds (BTDS, BTDS-144A, ATDS and SPDS). TRACE fixed income market data consumers must accommodate the data feed technical format changes described in each dissemination product specification by April 27, 2015 to continue to receive TRACE transactions. FINRA is also modifying
A vibrant and efficient capital-raising process fosters business expansion, job creation, innovation and economic growth. FINRA members play a critical role in facilitating capital formation for businesses of all sizes. FINRA supports the capital-raising process through appropriately tailored rules for its members that are designed for the benefit of all market participants.
<p>Clarification of application of OATS rules to customer allocations of executions.</p>
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SEC Approves Rule Change Creating New Limited Representative – Investment Banker Registration Category and Series 79 Investment Banking Exam
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Senior Management
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Executive Summary
NASD Regulation, Inc. (NASD Regulation) as previously announced, has contracted with Sylvan Learning Systems, Inc., for the management and operation of its test center network. The current goal is to begin delivery in select Sylvan locations in January 1997. Candidates wanting to
