Displaying 7561 - 7570 of 7849 Results
Did you mean: private placement risk ?
Notice to Members 06-59
ACTION REQUIRED Broker-Dealer and Investment Adviser Renewals SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Registered Representative Registration Senior Management IARDSM Maintenance Fees Renewals Registration Web CRD® Executive Summary The 2007 NASD Registration Renewal
Monthly Disciplinary Actions May 2007
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
TRF Announcements
Posted: April 12, 2019 Holiday Reminder The TRF Systems will be closed on Friday, April 19, 2019. As stated in the data feed interface specifications, FINRA may send out unmarked test data via its data feeds on market holidays. Direct data feed subscribers, including recipients of TRF data, should take the necessary precautions to prevent data corruption. Thank you for your attention to this
Regulatory & Compliance Alert - Spring 1998
full_html
Notice to Members 05-73
ACTION REQUIRED Broker-Dealer and Investment Adviser Renewals Payment Deadline: December 14, 2005 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Registered Representative Registration Senior Management IARDSM Maintenance Fees Renewals Registration Web CRD® Executive Summary
Trade Reporting Frequently Asked Questions
The guidance provided in this FAQ pertains to the reporting of over-the-counter (OTC) transactions in equity securities to a FINRA Facility (a Trade Reporting Facility (TRF), the Alternative Display Facility (ADF) or the OTC Reporting Facility (ORF)).
Notice to Members November 1998
NASD Notice of Meeting and Proxy
Monthly Disciplinary Actions April 2006
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Notice to Members 99-79
ACTION REQUESTED BY OCTOBER 29, 1999 Comment Period Expires October 29, 1999 Advertising Regulation NASD Regulation Requests Comment on Proposed Amendments to Provisions Governing Communications with the Public; Comment Period Expires October 29, 1999 SUGGESTED ROUTING KEY TOPICS Advertising/Investment Companies Internal Audit Legal & Compliance Mutual Fund Registered
Monthly Disciplinary Actions October 2007
FINRA takes disciplinary actions against firms and individuals for violations of NASD rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board.