Displaying 6801 - 6810 of 8271 Results
Notice To Members 93-87
SUGGESTED ROUTING Senior ManagementAdvertisingLegal & ComplianceMutual FundRegistrationTraining Executive Summary The NASD is publishing this Notice to remind members, particularly members affiliated with banks or participating in bank networking arrangements, of their obligations under the Rules of Fair Practice to disclose to customers the varying risks of investing the
Notice To Members 85-63
TO: All NASD Members and Municipal Securities Bank Dealers FROM: All Operations Personnel Transactions made on Monday, October 14, Columbus Day; Tuesday, November 5, Election Day; and Monday, November 11, Veterans Day, and the days immediately preceding these days, will be subject to the schedule below. The purpose of this schedule is to provide uniformity since, while the NASDAQ System and
MSRB Report Cards
strong a{font-weight:bold; } These reports and report cards display statistics related to firms' compliance with Municipal Securities Rulemaking Board rules and other requirements related to municipal securities and the MSRB's Electronic Municipal Market Access website. MSRB Markup/Markdown Analysis Report The report is a monthly compliance tool that provides an analysis of the markup
Rulemaking Items for Discussion at the December 2015 Meeting
<p>The FINRA Board of Governors will consider the following rulemaking items at its December 2015 meeting. After the meeting, FINRA will notify firms via email about the Board’s actions on these items and anticipated next steps, if any.</p>
Notice To Members 85-9
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel The schedule of trade dates/settlement dates below reflects the observance by the financial community of Lincoln's Birthday, Tuesday, February 12 and Washington's Birthday, Monday, February 18. On Tuesday, February 12, the NASDAQ System and the exchange markets will be open for trading. However,
Notice To Members 84-50
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel Transactions made on Monday, October 8, Columbus Day; Tuesday, November 6, Election Day; and Monday, November 12, Veterans Day, and the days immediately preceding these days, will be subject to the schedule below. The purpose of this schedule is to provide uniformity since, while the NASDAQ System and other
Notice to Members 03-09
District Elections SUGGESTED ROUTING KEY TOPICS Legal &amp; Compliance Operations Registration Senior Management District Elections Executive Summary Through this Notice, NASD announces the election results for the District Committees and the District Nominating Committees. The newly elected District Committee members will serve until 2006. District 10 (New York)
Notice To Members 84-10
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel The schedule of trade dates/settlement dates below reflects the observance by the financial community of Lincoln's Birthday, Monday, February 13, and Washington's Birthday, Monday, February 20. On Monday, February 13, the NASDAQ System and the exchange markets will be open for trading. However, it
Manage Your Securities Industry Career
Throughout your securities industry career, FINRA, other regulatory organizations and your employer collect and maintain a variety of information. Learn about all phases of your career in the securities industry, from considering becoming registered to taking exams to obligations when you leave the industry.
Notice to Members 02-73
INFORMATIONAL Business Conduct and Responsibility Rules Effective Date: October 15, 2002 SUGGESTED ROUTING KEY TOPICS Legal &amp; Compliance Operations, Trading and Training Registered Representatives Senior Management Security Futures Executive Summary &nbsp; &nbsp; On October 15, 2002, the Securities and