Displaying 791 - 800 of 1274 Results
Notice to Members 02-56
INFORMATIONAL Board of Governors Nominees SUGGESTED ROUTING KEY TOPICS Executive Representatives Senior Management NASD Board of Governors The Annual Meeting of members of NASD will be held on December 5, 2002. The formal notice of the meeting, including the precise date, time, and location of the Annual Meeting, will be mailed on or about November 4, 2002. The
Notice to Members 99-24
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts As of January 21, 1999, the following bonds were added to the Fixed
Regulatory Notice 15-40
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2016
Notice to Members 01-83
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of October 21, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity ADLA.GS Adelphia Communications Corp
Notice to Members 98-41
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of April 24, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM). Symbol Name Coupon Maturity PRVC.GA President Riverboat Casinos Inc 13.000 09/15/01 TCFD.GB Trump's Castle Funding Inc
Regulatory Notice 13-01
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Regulatory Notice 10-01
Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
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.
Election Notice - 10/19/11
Notice of FINRA Small Firm Advisory Board Election and Ballots