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Series 39 – Direct Participation Programs Principal Exam
The Series 39 exam — the Direct Participation Programs Principal Qualification Exam (DP) — assesses the competency of an entry-level principal to perform their job as a direct participation programs principal.
Series 6 – Investment Company and Variable Contracts Products Representative Exam
The Series 6 exam — the Investment Company and Variable Contracts Products Representative Qualification Examination (IR) — assesses the competency of an entry-level representative to perform their job as an investment company and variable contracts products representative.The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of an
Revised FIX and CTCI Specifications for Reporting OTC Equity Trades to New OTC Reporting Facility (ORF) Platform
FINRA has updated the Financial Information eXchange (FIX) and Computer-to-Computer Interface (CTCI) specifications for reporting OTC equity trades to the new OTC Reporting Facility (ORF) platform. Reporting to the new platform will become effective on Monday June 2, 2014.
Election Notice - 5/10/13
Upcoming FINRA Board of Governors Election
Notice to Members 00-68
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of August 21, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity BIOB.GA Bio-Rad Laboratories Inc.
Regulatory Notice 12-01
Final 2012 Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Notice to Members 99-83
INFORMATIONAL Trade Date— Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date— Settlement Date Schedule The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the
Regulatory Notice 10-14
SEC Approves Access to Historic TRACE Data and Related Fees
Regulatory Notice 15-34
SEC Approves Rule Governing Sales of Securities on Military Installations to Members of the U.S. Armed Forces or Their Dependents
Notice to Members 97-72
SUGGESTED ROUTING   Internal Audit Legal & Compliance Municipal Operations Syndicate Systems Trading Veterans' Day And Thanksgiving Day: Trade Date — Settlement Date Schedule The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veterans' Day, Tuesday, November 11, 1997, and Thanksgiving