Displaying 6001 - 6010 of 8296 Results
Notice To Members 87-61
TO: All NASD Members and Other Interested Persons EXECUTIVE SUMMARY The NASD is publishing Suggested Escrow Agreement Provisions and Suggested Language for Selected Dealer Agreements to assist members and their counsel in complying with SEC Rule 15c2-4. BACKGROUND AND SUMMARY Through its review of public offerings of securities conducted by the Corporate Financing Department, the NASD has the
Interpretive Letter to Eileen Ryan, Esq., Securities Industry Association, and Sarah Starkweather, Esq., The Bond Market Association
NASD Rule 2211 - Institutional Sales Material and Correspondence</p>Free writing prospectuses are not subject to Rules 2210 and 2211 or the filing requirements of Rules 2710 and 2720
Notice To Members 88-32
TO: All NASD Members and Other Interested Persons EXECUTIVE SUMMARY The Securities and Exchange Commission recently approved an amendment to the Interpretation of the Board of Governors—Review of Corporate Financing, under Article III, Section 1 of the NASD Rules of Fair Practice. The amendment, which becomes effective June 1, 1988, requires a qualified independent underwriter to provide a
FINRA Campaign Urges New Investors to Take Key Steps Before Trading
FINRA has launched an online advertising campaign, Get Your Head in the Trade, encouraging new investors to understand investment risks and rewards as well as their own financial goals and risk tolerance before making an investment decision.
Notice to Members 04-91
GUIDANCEFees for Filing Documents Pursuant to Rule 2710 (Corporate Financing Rule–Underwriting Terms and Arrangements)Implementation Date: January 1, 2005SUGGESTED ROUTINGKEY TOPICSLegal &amp; ComplianceRegistered RepresentativesSenior ManagementCorporate Financing DepartmentCorporate Financing FeesRule 2710&nbsp;(Corporate FinancingRule–Underwriting Terms and Arrangements)Schedule A to
Using Data to Stay Ahead of Risk: Introducing FINRA’s StratIntel Team
As the financial industry continues to evolve, it's important to stay ahead of emerging risks and trends. On this episode of FINRA Unscripted, we sit down with the leaders of FINRA's new Strategic Intelligence and Analytics team to discuss how they are working to identify and analyze these industry developments.
Notice To Members 90-66
SUGGESTED ROUTING* Senior ManagementInternal AuditLegal &amp; Compliance *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission (SEC) has issued Release No. 34-28347, containing proposed amendments to Rule 15c3-1 (the "Rule") with respect to withdrawals of net capital. The proposal would expand
Notice to Members 99-85
ACTION REQUIRED Renewal fees for the year 2000 for all participating regulators are due NO LATER than December 10, 1999. Broker/Dealer And Agent Renewals SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal &amp; Compliance Operations Registered Representatives Registration Senior Management Registration Renewals Web CRD The Suggested Routing function is meant to aid
Regulatory Notice 09-26
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
SR-FINRA-2015-022
Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Require Hyperlink to BrokerCheck on Member Websites