(a) Definition of Principal and Principal Registration Categories(1) Definition of PrincipalA "principal" is any person associated with a member, including, but not limited to, sole proprietor, officer, partner, manager of office of supervisory jurisdiction, director or other person occupying a similar status or performing similar functions, who is actively engaged in the management of
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Members are reminded of their obligation that all fees and charges for services must be reasonable and that adequate prior notice be given to customers.
DISCUSSION
Article III, Section 3 of the Rules of
Year 2000 Tips For Members Will Your Fax Machine Work?
As the millennium approaches, one of the areas all businesses should assess for Year 2000 readiness is their internal office equipment. Last month, Notices to Members provided information on how to check a PC (personal computer), and this month's tip for members involves preparing your fax machine for 2000. Firms should first contact
LICENSED PRODUCT
Terms of Use
Last modified: June 15, 2022
The Financial Industry Regulatory Authority, Inc. ("FINRA" ) develops, produces, and licenses financial services industry-related materials and courses that are made available on the FINRA.org website (https://www.finra.org/rules-guidance/key-topics/senior-investors/elder-abuse-prevention-training). The materials and course
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Senior Management
Legal & Compliance
Executive Summary
The NASD will soon file its proposed revision of the NASD Manual with the Securities and Exchange Commission (SEC) for approval, which is expected later this year. Following SEC approval, the NASD will direct the Commerce Clearing House and vendors providing electronic versions of the NASD Manual
SUGGESTED ROUTING
MunicipalOperationsSystemsTrading
As of February 24, 1994, the following 62 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,537:
Symbol
Company
Entry Date
SOESSM Execution Level
SLOT
Anchor Gaming
1/28/94
500
NSTA
Anesta Corp.
1/28/94
500
GNPT
GP Financial Corp.
1/28/94
1000
INTM
Interim Services Inc.
1/28/94
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of October 25, 1993, the following 77 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,325:
Symbol
Company
Entry Date
SOES Execution Level
TBAY
Gotham Apparel Corp.
9/27/93
1000
BPIX
Broadcasting Partners, Inc. (Cl A)
9/28/93
1000
COSB
CSB Financial
To whom it may concern:
People nowadays have internet resources that are comparable to those of the Wall Street investors. I, for example, uses excel to calculate risk and rewards based on data collected from various brokerages/yahoo finance/bloomberg/LPLfinance...etc. A test imposed by regulators may have nothing to do with my excel calculations and probably remotely relevant to the success of
On this episode, we hear from members of both the Vulnerable Adults and Seniors (VAST) Intake and Investigations teams to hear how the groups work with individual investors, firms, states and other regulators to prevent and detect financial exploitation of senior and other vulnerable investors.
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Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of July 24, 1991, the following 54 issues joined Nasdaq/NMS, bringing the total number of issues to 2,568:
Symbol
Company
Entry Date
SOES Execution Level
GNLB
Genelabs Technologies, Inc.
6/13/91
1000
GLYC
Glycomed Incorporated
6/13/91
