Displaying 551 - 560 of 1291 Results
Regulatory Notice 14-14
FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules
Interpretive Letter to Karen A. Steighner, Brokerage Administrators Corporation (includes attached incoming letter)
Registration Requirements for Various Teleservicing Activities
Notice to Members 99-74
Special NASD Notice to Members 99-74 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
Notice to Members 99-72
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts As of June 22, 1999, the following bonds were added to the Fixed
Notice to Members 99-47
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts As of April 22, 1999, the following bonds were added to the Fixed
Notice to Members 99-37
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 The National
Managing the Costs of Student Loan Debt
If you graduated with a sizable amount of debt, you aren't alone. The high costs of college mean it’s common to finish school with thousands of dollars in student loans. Though repaying student loans might feel overwhelming, educating yourself about your obligations and options can help you develop a plan to tackle your debt.
Election Notice - 4/11/08
Election Results for District Committees and District Nominating Committees
5110. Corporate Financing Rule — Underwriting Terms and Arrangements
(a) Requirements for Public Offerings (1) General (A) No member or person associated with a member shall participate in a public offering in which the terms and conditions relating thereto, including the aggregate amount of underwriting compensation, are unfair or unreasonable pursuant to this Rule or inconsistent with any By-Law or any rule or regulation of FINRA. (B) Any member acting as a
5110. Corporate Financing Rule — Underwriting Terms and Arrangements
(a) Requirements for Public Offerings (1) General (A) No member or person associated with a member shall participate in a public offering in which the terms and conditions relating thereto, including the aggregate amount of underwriting compensation, are unfair or unreasonable pursuant to this Rule or inconsistent with any By-Law or any rule or regulation of FINRA. (B) Any member acting as a