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Notice to Members 04-66
GUIDANCEOrder-Routing and Execution SystemsSUGGESTED ROUTINGKEY TOPICSInstitutionalInternal AuditLegal & ComplianceOperationsSenior ManagementSyndicateSystemsTrading OperationsOrder-Routing and Execution SystemsRule 3010Rule 3310 and IM-3310SupervisionTrading and Market Making Systems Executive SummaryIn recent months, there have been several instances
Information Notice 8/17/12
Late Disclosure Fee Related to Reporting of Judgment/Lien Events
Information Notice 12/29/09
December 2009 Supplement to the Options Disclosure Document
Regulatory Notice 16-33
FINRA Adopts Amendments Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only
Information Notice - 10/25/13
Change to Form U4 Regarding the Reporting of Judgment/Lien Events
Regulatory Notice 11-37
Trading Pause Rule Expanded to All NMS Stocks
Regulatory Notice 18-14
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on the Annual Compliance Meeting
Notice to Members 99-105
INFORMATIONAL Trade Date—Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Trade Date-Settlement Date Schedule 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
Information Notice - 1/24/13
November 2012 Supplement to the Options Disclosure Document