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Election Notice - 10/19/11
Notice of FINRA Small Firm Advisory Board Election and Ballots
Election Notice - 10/23/09
Notice of SFAB Election and Ballots
Election Notice - 11/21/08
Notice of SFAB Election and Ballots
Notice to Members 03-75
INFORMATIONAL SUGGESTED ROUTING   KEY TOPICS Executive Representatives Board Elections The Annual Meeting of Members of NASD will be held on January 6, 2004, at 11:00 am, at the NASD Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to conduct the election of Governors to the NASD Board. Members
Interpretive Letter to Susan S. Krawczyk, Esq., Sutherland Asbill & Brennan LLP
Hypothetical illustration required by state law does not constitute "sales literature" under Rule 2210.
Notice to Members 00-57
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of July 20, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity CHCG.GE Charter Comm Hldgs Cap Corp
Notice to Members 99-82
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance 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 structure. As of July 22,
Notice to Members 98-45
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of May 22, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM). Symbol Name Coupon Maturity AES.GB AES Corp 8.375 08/15/07 AES.GC AES Corp 8.500 11/01/07 AES.GD AES Corp 8.875 11/01/
Election Notice – 10/21/19
Executive Summary The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms. Firms that are members of FINRA as of the close of business on Friday, October 18, 2019, are eligible to vote for the contested seats on the Regional Committee corresponding to the district in which
6898. Consolidated Audit Trail—Fee Dispute Resolution
(a) Definitions (1) For purposes of this Rule, the terms "CAT NMS Plan", "Industry Member", "Operating Committee", and "Participant" are defined as set forth in Rule 6810 (Consolidated Audit Trail—Definitions). (2) "Subcommittee" means a subcommittee designated by the Operating Committee pursuant to the CAT NMS Plan. (3) "CAT