SUGGESTED ROUTING*
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule
The
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, November 20, 1984, 40 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,142. These 40 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members
On April 12, 1984, the SEC issued Release No. 34-20853 requesting public comments on the NASDAQ Options Program. The text of this release, together with a document which provides an overview of the NASDAQ Options Program and a fact sheet highlighting major features of the program, are enclosed with this notice.
The
FINRA Requests Comment on a Proposal to Tighten Business Clock Synchronization Requirements
Neutral Corner – Volume 2 – 2018
Mission Statement
Developing an Effective Med-Arb/Arb-Med Process (By Edna Sussman, FINRA Arbitrator and Mediator)
Office of Dispute Resolution and FINRA News
Case Filings and Trends
Portal Reminder
Practising Law Institute (PLI) Securities Arbitration 2018: September 26, 2018
SEC Rule Approval
Special Proceeding for
ACTION REQUIRED
Broker/Dealer And Agent Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Registration
Renewals
Web CRD
Executive Summary
The 1999-2000 renewal cycle for the National Association of Securities Dealers, Inc. (NASD®) broker/dealer and agent
FINRA has amended its Code of Arbitration Procedure for Customer Disputes (Customer Code) to clarify and, in some instances, amend the applicability of the Document Production Lists to simplified customer arbitrations administered under Rule 12800.
SEC Approves Amendments Relating to Stop Orders
SUGGESTED ROUTING
Senior Management
Advertising
Corporate Finance
Executive Representatives
Government Securities
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Systems
Trading
Training
Executive Summary
Effective upon publication of this Notice, the National Association of Securities
GUIDANCE
Qualification Examinations
Implementation Date: November 30, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Training
Limited Principal—General Securities Sales Supervisor (Series 9/10)
Limited Principal—Registered Options (Series 4)
Limited Representative—Investment Company and Variable Contracts Products (Series 6)
Rule 1022(f)
Rule 1022(g
