Displaying 7671 - 7680 of 9720 Results
Notice To Members 92-63
SUGGESTED ROUTING:* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystems*These are suggested departments only. Others may be appropriate for your firm. Securities exchanges and The Nasdaq Stock MarketSM will be closed on Friday, December 25, 1992, Christmas Day, and Friday, January 1, 1993, New Year's Day. "Regular way" transactions made on the
Targeted Examination Letter on Conflicts of Interest
FINRA is reviewing how firms identify and manage conflicts of interest. As part of this review, we would like to meet with executive business and compliance staff of your firm to discuss the firm’s approach to conflict identification and mitigation.
Notice To Members 91-76
SUGGESTED ROUTING:* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. Securities exchanges and The Nasdaq Stock MarketSM will be closed on Wednesday, December 25, 1991, Christmas Day, and Wednesday, January 1, 1992, New Year's Day. "Regular way" transactions made
Notice To Members 91-39
SUGGESTED ROUTING:* Senior ManagementLegal & ComplianceMutual Fund*These are suggested departments only. Others may be appropriate for your firm. The NASD has recently received information about the increasing use of so-called "negative response" letters. These letters are used to facilitate members' recommendations that customers switch from one mutual fund to
Testimony Before the Finance and Hazardous Materials Subcommittee of the Commerce Committee
The NASD would like to thank the Subcommittee for this opportunity to testify on organized crime in the securities markets, the scope of the problem and our efforts to address it.
Notice To Members 90-83
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystems Trading *These are suggested departments only. Others may be appropriate for your firm. The schedule of trade dates-settlement dates below reflects the observance by the financial community of Christmas Day, Tuesday, December 25, 1990, and New Year's Day, Tuesday, January 1, 1991. All
Notice To Members 90-77
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. The schedule of trade dates-settlement dates below reflects the observance by the financial community of Thanksgiving Day, Thursday, November 22, 1990. All securities markets will be closed on Thursday,
Notice to Members 02-64
REQUEST FOR COMMENT Prohibition of Certain Bank Tying Arrangements Comment Period Expires: October 21, 2002 SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Senior Management Investment Banking Just and Equitable Principles of Trade NASD Rule 2110 Discussion NASD is concerned that the practice of tying commercial credit to investment banking
Notice To Members 89-80
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. Securities markets and the NASDAQ System will be closed Monday, December 25, 1989, Christmas Day, and Monday, January 1, 1990, New Year's Day. "Regular way" transactions made on the business days
Notice To Members 89-74
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. Securities markets and the NASDAQ System will be closed on Thursday, November 23, in observance of Thanksgiving Day. "Regular way" transactions made on the business days noted below will be subject to