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Notice to Members 04-87
INFORMATIONALTrade Date–Settlement DateThis version corrects the Trade Dates and Settlement Dates for Columbus Day 2005.SUGGESTED ROUTINGKEY TOPICSInternal AuditLegal and ComplianceMunicipal/Government SecuritiesOperationsTrading and Market Making Holiday Trade Date–Settlement Date Schedule Martin Luther King, Jr., Day:Trade Date–Settlement Date ScheduleThe Nasdaq Stock Market®
Frequently Asked Questions about the 2001 Amendments to Broker-Dealer Books and Records Rules Under the Securities Exchange Act of 1934
On October 25, 2001, the SEC adopted amendments to Rules 17a-3 and 17a-4. The purpose of this Notice is to address some frequently asked questions about the SEC requirements.
Regulatory Notice 16-12
FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
Election Notice - 10/15/14
Notice of FINRA District Committee Elections and Ballots
Notice to Members 03-78
INFORMATIONAL Trade Date—Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal and Compliance Municipal/Government Securities Operations Trading and Market Making Holiday Trade Date-Settlement Date Schedule Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule The Nasdaq Stock Market® and the
Regulatory Notice 09-01
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009
Rulemaking Items for Discussion at the July 2012 Meeting
The FINRA Board of Governors will consider the following rulemaking items at its July 2012 meeting.
Testimony Before the Senate Committee on Banking, Housing and Urban Affairs Hearing on Money Laundering
On behalf of NASD, I would like to thank Chairman Sarbanes, Ranking Member Gramm, and the members of the Senate Banking Committee for this opportunity to testify.
Notice to Members 02-84
Trade Date—Settlement Date SUGGESTED ROUTING KEY TOPICS   Internal Audit Legal and Compliance Municipal/Government Securities Operations Trading and Market Making   Holiday Trade Date-Settlement Date Schedule Trade Date—Settlement Date     The NASDAQ Stock Market and the
Notice to Members 02-20
INFORMATIONAL Revised Forms U-4 And U-5 Effective Date: March 18, 2002 SUGGESTED ROUTING KEY TOPICS Continuing Education Legal & Compliance Operations Registered Representatives Registration Senior Management Training Central Registration / Depository System IM-8310-2 Investment Adviser / Representatives U-4 U-5 Executive Summary The Securities and Exchange