FINRA Requests Comment on Proposed FINRA Rule Addressing the Origination and Circulation of Rumors
TO: All NASD Members and Other Interested Persons
The ribbon-cutting ceremony for the new 110,000-square-foot NASD Operations Center, which will serve the NASD membership and the NASDAQ market, will be September 17, 1986. The facility, located 18 miles north of Washington, D.C., in Rockville, Maryland, will support 200-million-share trading days and provide the first complete, back-up computer
INFORMATIONALDistrict ElectionsSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsRegistrationSenior ManagementDistrict ElectionsExecutive SummaryIn early June, NASD will issue a formal Notice to Members soliciting candidates and explaining the process for nominating individuals to serve on both the District Committees and the District Nominating Committees.In this election, each
The purpose of this Election Notice is to notify member firms of the upcoming nomination and election process to fill forthcoming vacancies on FINRA District Committees and District Nominating Committees.
The current District Committee and District Nominating Committee members are included in Attachment A. Information on District Election procedures is included in Attachment B. A candidate
How to Download a Report From Web CRD
REQUEST FOR COMMENT
Investment Analysis Tools
Comment Period Expires: September 13, 2002
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Executive Representative
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Investment Analysis Tools
Rule 2210
Executive Summary
NASD Rule 2210(d)(2)(N) prohibits NASD member firms from making predictions or projections of investment results to the
INFORMATIONAL
Confidential Customer Information
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Consumer Information
SEC Regulation S-P
Executive Summary
In light of recently enacted federal law, NASD Regulation, Inc. (NASD RegulationSM)
I believe it would be a mistake to reduce access to these popular and useful short to medium term trading funds. There is more than enough information in the market web sites on how to use a x3 fund. Extreme risk lies only on a " black swan" event and these events pose similar risks to all investors. I believe that I have benefited from my use of x2 & x3 funds on the SP500. It
FINRA Requests Comment on a Proposal to Establish a Publicly Accessible Online Repository of Form 211 Information
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