Displaying 7051 - 7060 of 9720 Results
Notice To Members 95-104
SUGGESTED ROUTING Registration Training Expanded Sign-In Procedures Concerns always exist regarding proper identification of candidates who are taking exams and training. A single finger imprint procedure will be added to our sign-in procedure to help address this issue. Effective February 1, 1996, all candidates taking computerized NASD® exams or Continuing Education Program
Final User Acceptance Test TRACE Portfolio Trades and TRACE Treasuries Reporting
Beginning May 15, 2023, the following FINRA TRACE rules changes will take effect: Members must report transactions in TRACE-eligible corporate debt securities which are part of a portfolio trade with an appropriate modifier. The Sale Condition 4 modifier, available via the TRAQS secure web browser and the TRACE FIX protocol (Tag 22004), will be available for this designation, as described in
Interpretive Letter to Jess Haberman, royalblue financial corporation
<p>Clarification of application of OATS rules to customer allocations of executions.</p>
Notice To Members 93-85
Effective Immediately SUGGESTED ROUTING Senior ManagementAdvertisingLegal &amp; Compliance Executive Summary The Securities and Exchange Commission (SEC) recently approved amendments to the Guidelines Regarding Communications With the Public About Collateralized Mortgage Obligations (CMO Guidelines) at Article III, Section 35 of the Rules of Fair Practice. The amendments add a
Notice To Members 88-89
SUGGESTED ROUTING* Senior Management Corporate Finance Legal &amp; Compliance Syndicate *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The SEC has approved an amendment to the definition of qualified independent underwriter
Testimony Before the Subcommittee on Financial Management, the Budget and International Security Senate Committee on Government Affairs
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
Regulatory Notice 10-56
SEC Approves Amendments to the Trading Activity Fee and FINRA Announces Publication of Frequently Asked Questions
Love Your Company Stock? Here’s What to Know.
Invest in what you know. It’s a common investing adage, and employees might think they know their employer better than anyone else. But should you invest in your company’s stock? Owning a stake in the company you work for might have some advantages. However, there are risks you should consider.
Notice To Members 90-55
SUGGESTED ROUTING* Senior Management MunicipalOperationsSystems *These are suggested departments only. Others may be appropriate for your firm. On August 1, 1990, the United States District Court for the District of Colorado appointed a SIPC trustee for: Blinder, Robinson &amp; Company, Inc.6455 South Yosemite StreetEnglewood, Colorado 80111. Members may use the "immediate close-
Notice To Members 90-49
SUGGESTED ROUTING* Senior ManagementMunicipalOperationsSystems *These are suggested departments only. Others may be appropriate for your firm. On June 22, 1990, the United States District Court for the Northern District of Ohio appointed a SIPC trustee for: First Ohio Securities CompanyTwo Park Plaza1111 Chester AvenueCleveland, OH 44114. Members may use the "immediate close-out"