Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Representative-Options (Series 42) examination program.
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Representative-Government Securities (Series 72) examination program. The proposed
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the General Securities Principal (Series 24) examination program. The proposed revisions update
Proposed Rule Change to Adopt NASD Rule 2212 (Telemarketing) as FINRA Rule 3230 in the Consolidated FINRA Rulebook
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Columbus Day: Trade Date — Settlement Date Schedule
The schedule of trade dates – settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 12, 1998. On this day, The Nasdaq Stock Market® and the securities
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make certain amendments to the Restated Certificate of Incorporation of NASD (the “Certificate”) to reflect the governance and related changes to accommodate the consolidation of the member firm regulatory functions of NASD and NYSE Regulation, Inc. and to conform the Certificate to the
Proposed Rule Change Relating to the Dissemination of Transactions in TRACE-Eligible Securities that are Effected Pursuant to Securities Act Rule 144A
Bulletin Board Designated As "Qualifying Electronic Quotation System"
On December 30, 1992, the Securities and Exchange Commission (SEC) granted the NASD's request for interim designation of the OTC Bulletin Board® service (OTCBB) as a "Qualifying Electronic Quotation System" for purposes of certain penny-stock rules that became effective on January 1, 1993. The SEC
Proposed Amendments to Postponement Fee Rule and Hearing Session Fee Rule under the Arbitration Codes
Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules
