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Notice to Members 99-93
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
OATS Compliance Daily Report Card
The Daily Total Summary Data and Detail Data Download files for the OATS Compliance Report Card provide underlying totals and detail of the data contained in the monthly summary OATS Compliance Report Card. The tables below represent the data within the Daily Totals Summary Report Card and the Detail Data Download files. Summary Definitions and Data Fields Term
Notice to Members 01-28
FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of February 22, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity AXTO.GD Abraxas Petroleum Corp 11.500 11/01/04
Election Notice - 10/21/10
Notice of SFAB Election and Ballots
Regulatory Notice 18-23
Summary FINRA seeks comment on proposed amendments to the NASD Rule 1010 Series (Membership Proceedings) (collectively, the Membership Application Program (MAP) rules). The proposal is the result of FINRA's retrospective review of the MAP rules and processes, and is intended to reduce unnecessary burdens on new and existing firms, while strengthening investor protections. The proposed
Interpretive Letter to Jonathan K. Lagemann, Esq., Law Offices of Jonathan Kord Lagemann
<p>Proposed employee leasing arrangement does not violate Rule 2420.</p>
Election Notice – 10/20/17
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Regulatory Notice 11-56
FINRA and ISG Enhance Electronic Blue Sheet Submissions
Comment Letters Submitted by FINRA
FINRA has commented on the following topics.
Notice to Members 04-94
INFORMATIONALSUGGESTED ROUTINGKEY TOPICSLegal &amp; ComplianceOperationsRegistrationSenior ManagementDistrict ElectionsExecutive SummaryArticle VIII, Section 8.32 of the NASD Regulation, Inc. By-Laws (the By-Laws) permits the Secretary of NASD Regulation, in extraordinary circumstances and with the approval of the NASD Executive Committee or the NASD Board of Governors, to adopt additional