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Election Notice - 10/17/12
Notice of FINRA Small Firm Advisory Board Election and Ballots
Election Notice – 10/14/15
Notice of SFAB Election and Ballots
Notice to Members 05-16
INFORMATIONAL District Elections SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registration Senior Management District Elections Executive Summary Through this Notice, NASD announces the results of the contested election for membership on the District Committee for District 10. Five candidates were seeking to fill the four open seats on the District Committee
Notice to Members 05-15
INFORMATIONAL District Elections SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registration Senior Management District Elections Executive Summary Through this Notice, NASD announces the results of the contested election for membership on the District Committee for District 1. Four candidates were seeking to fill the three open seats on the District Committee
Investors Exchange Registration-OATS Impacts
Pending SEC approval, Investors' Exchange LLC will be operating as the stock exchange, Investors Exchange.
Fixed Income Data User Agreement
By checking "I Agree" or accessing or using the FINRA Fixed Income Data website or the data and other information available on the FINRA Fixed Income Data website (the “Data”), you acknowledge and agree to terms of this User Agreement (including the Third Party Terms and Disclaimers below) and all other applicable terms posted on the FINRA Fixed Income Data website. Please read them
Interpretive Letter to Clair Pagnano, K&L Gates LLP
A member firm may include related performance information in institutional communications concerning continuously offered closed-end funds, subject to the stated conditions discussed in the letter.
Notice to Members 02-79
Board Elections SUGGESTED ROUTING KEY TOPICS Executive Representatives Board Elections     The Annual Meeting of Members of NASD will be held on December 5, 2002, at 11:00 am, at the NASD Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to conduct the election of Governors to
Notice to Members 99-62
Nominees For District Committees And District Nominating Committees 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
Interpretive letter to Meredith F. Henning, Foreside
A member firm may include pre-inception index performance data in institutional communications concerning registered open-end investment companies, subject to the stated conditions discussed in the letter.