Displaying 6181 - 6190 of 8555 Results
Monthly Disciplinary Actions June 2017
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Notice To Members 94-76
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 10, 1994. On this day, The Nasdaq Stock MarketSM and the securities exchanges will be open for trading. However, it will not be a settlement date because many of the nation's banking
Notice To Members 93-65
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 11, 1993. On this day, The Nasdaq Stock MarketSM and the securities exchanges will be open for trading. However, it will not be a settlement date since many of the nation's
Notice To Members 92-48
SUGGESTED ROUTING:* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 12, 1992. On this day, securities exchanges and The Nasdaq Stock Market™
9561. Procedures for Regulating Activities Under Rule 4111
(a)  Notices Under Rule 4111 (1)  Notice of Requirements or Restrictions FINRA's Department of Member Regulation ("Department") shall issue a notice of its determination under Rule 4111 that a firm is a Restricted Firm and the requirements, conditions or restrictions to which the Restricted Firm is subject (hereinafter, collectively referred to as the "Rule
Notice To Members 92-11
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
Notice To Members 90-70
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veteran's Day, Monday, November 12, 1990. On Monday, November 12, the NASDAQ system and the
Notice To Members 90-59
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 8, 1990. On this day, the NASDAQ system and the exchange markets will be
Notice To Members 89-62
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 9, 1989. On this day, the NASDAQ System and the exchange markets will be
How to Shop for a Mortgage
Before you can buy a house, you will need to shop for—and qualify for—a home loan.