Displaying 5311 - 5320 of 34028 Results
SR-FINRA-2017-012
Proposed Rule Change to Amend FINRA Rule 7730 to Reduce the Delay Period for the Historic TRACE Data Sets Relating to Corporate and Agency Debt Securities
Notice to Members 98-71
Comment Period Expires: September 30, 1998 SUGGESTED ROUTING Senior Management Legal & Compliance Registered Representatives Registration Executive Summary Under the current interpretation governing the Public Disclosure Program, information on all felony offenses is disclosed indefinitely. NASD Regulation, Inc. (NASD Regulation) requests comment from members and
Notice to Members 99-27
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 Representatives Registration Research Syndicate Systems Trading Training Variable Contracts Executive Summary In accordance with
Regulatory Notice 17-19
SEC Approves Amendments to FINRA Rules to Conform to the Shortened Standard Settlement Cycle for Most Broker-Dealer Transactions From Three Business Days (T+3) to Two Business Days After the Trade Date (T+2)
Notice to Members 99-23
Effective March 18, 1999 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 Representatives Registration Research Syndicate Systems Trading Training Variable Contracts Executive
Notice to Members 97-71
SUGGESTED ROUTING   Senior Management Advertising Corporate Finance Government Securities Institutional Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registration Research Syndicate Systems Trading Training Executive Summary Effective January 1, 1998, the National Association of Securities Dealers, Inc. (NASD®) will
Notice to Members 04-39
GUIDANCE Corporate Debt Securities Effective Date: June 17, 2004 SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal and Compliance Operations Senior Management Technology Trading and Market Making Training Debt Securities Operations Rule 6200 Series TRACE Rules Transaction Reporting Executive Summary
Notice to Members 04-40
GUIDANCE Short Sale Reporting Requirements SUGGESTED ROUTING KEY TOPICS Executive Representatives Operations Trading ACT Reporting Requirements IM-6130 Rule 3350 Rule 6130 Short Sale Reporting Requirements Executive Summary On May 20, 2004, NASD, through its subsidiary, The Nasdaq Stock Market, Inc. (NASDAQ),
Notice to Members 04-41
INFORMATIONAL NAC Nominees SUGGESTED ROUTING KEY TOPICS Legal and Compliance Senior Management National Adjudicatory Council Executive Summary The purpose of this Special Notice to Members is to announce the nominees for the National Adjudicatory Council (NAC) from the Midwest and South Regions. The nominees, nominated for a
Monthly Disciplinary Actions November 2001
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).