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Remarks at the Research Center on the Prevention of Financial Fraud 2011 Conference
Remarks by Chairman and CEO Rick Ketchum at the Research Center on the Prevention of Financial Fraud 2011 Conference
Notice to Members 99-66
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered
Regulatory Notice 08-41
FINRA Announces Amendments to Make Permanent the Portfolio Margin Pilot Program
Regulatory Notice 08-16
Member Firm Disclosure and Supervisory Review Obligations; Effective Date: April 7, 2008
Special Notice – 3/21/17
FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs
Notice to Members 06-51
GUIDANCE Options SUGGESTED ROUTING KEY TOPICS Legal and Compliance Institutional Senior Management Operations Trading Options Contrary Exercise Advice Exercise-by-Exception Exercise Procedures Options Rule 2860 Rule 11850
Notice to Members 05-50
GUIDANCE Equity-Indexed Annuities SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registered Representatives Senior Management Executive Representatives Insurance Variable Contracts Equity-Indexed Annuities Rule 3030 (Outside Business Activities of an Associated Person) Rule 3040 (Private
Notice to Members 03-47
IMMEDIATE ACTION REQUIRED SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Accounting Operations Retail Mutual Funds Mutual Fund Breakpoints Customer Refunds Net Capital Compliance Background In late 2002, as a result of several routine examinations, NASD discovered that some members had
Notice To Members 94-1
SUGGESTED ROUTING Senior ManagementInstitutionalLegal & ComplianceOperationsSystemsTrading Executive Summary On December 23, 1993, the Securities and Exchange Commission (SEC) issued an order approving amendments to the Rules of Practice and Procedure for the Small Order Execution System (SOESSM). The new rules prohibit short sales in SOES; reduce the largest eligible SOES order
Notice to Members 02-69
INFORMATIONAL Certificates of Deposit Effective Date: October 8, 2002 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Trading Operations Senior Management Certificates of Deposit Executive Summary NASD is issuing this Notice to supersede NASD Notice to Members 02-28 (Notice or Notice 02-28) and replace the guidance offered in Notice to