You let elected officials cheat the system (insider trading), let me invest legally without restrictions.
SUGGESTED ROUTING:*
Senior ManagementLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD, on the recommendation of its Legal Advisory Board (LAB), has undertaken a reorganization of the NASD Manual in order to make the Manual easier to use. As a first step in the Manual revision project, the LAB proposed an
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.
December 5, 2022FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to provide an update on the CE transformation and CAT implementation.Speakers:Robert Cook, FINRA President and Chief Executive OfficerJoe McDonald, Senior Director, Testing and Continuing EducationPaul McKenny, Vice President, FINRA CAT
SUGGESTED ROUTING*
Senior ManagementOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
The first-Saturday exam session date for September has been changed to August 27,1988, for all test centers because of the Labor Day holiday, which falls during the first weekend of the month.
Requests for appointments for the August 27
session must be
1) SEC regulations are very confusing and at times it appears as though there isn't an actual run book that staff use before concluding if something is a security or currency. Another area for improvement in this space is helping people form an appropriate approach, and lastly crack down on these exchanges. Some of them are dodgy [REDACTED]. 2) I did like Binanaces approach to educating
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Training
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
Please be advised, due to an issue with when-issued trading in Cash Management Bills, FINRA re-generated the daily treasury aggregate files for the following dates: 2/13, 2/14 and 2/23. Additionally, the monthly file for the month of February has been updated.
All the updates are available via www.finra.org/treasuryaggregates
For any questions regarding this data, please contact TRACE
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Training
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. As the transition to the Sylvan Network proceeds, a limited number of current PROCTOR® Certification and
Member Firm Disclosure and Supervisory Review Obligations; Effective Date: April 7, 2008
