NASD Informs Members Of Upcoming Nomination Procedures For Industry Member Vacancies On The National Adjudicatory Council
Suggested Routing
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
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
NASD Regulation, Inc. (
FINRA Requests Comment on a Proposal to Tighten Business Clock Synchronization Requirements
REQUEST FOR COMMENT
Regulation of Compensation, Fees, and Expenses in Public Offerings of Real Estate Investment Trusts; Direct Participation Programs, Including Commodity Pools; and Closed-End Funds
Comment Period Expires March 12, 2004
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Closed-End
FINRA Addresses Frequently Asked Questions About TRACE Reporting Issues
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Training
The National Association of Securities Dealers, Inc. (NASD®) will observe the following holiday schedule for 1999:
January 1
New Years Day
January 18
Birthday of Martin Luther King, Jr.(Observed)
February 15
Presidents Day
April 2
Good Friday
May
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
The National Association of Securities Dealers, Inc. (NASD®) will observe the following holiday schedule for 1998:
January 1
New Year's Day
January 19
Martin Luther King Jr.'s Birthday (Observed)
February 16
Presidents' Day
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, November 18, 1996. The information relating to matters contained in this Notice is current as of October 28, 1996. Information received subsequent to the 28th is not reflected in this edition.
Firms Suspended, Individuals Sanctioned
Euro-Atlantic Securities Inc. (Boca Raton, Florida) and David Paul
SUGGESTED ROUTINGSenior ManagementAdvertisingContinuing EducationCorporate FinanceExecutive RepresentativesGovernment SecuritiesInstitutionalInsuranceInternal AuditLegal & ComplianceMunicipal Mutual FundOperationsOptionsRegistered RepresentativesRegistrationResearchSyndicateSystemsTradingTrainingVariable Contracts BackgroundThe National Association of Securities Dealers
GUIDANCE
NAC Nominations
Nomination Deadline: August 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill one upcoming vacancy on the National
