SEC Approves Changes to Arbitration Rules on Definition of Associated Person, Distribution of the FINRA Discovery Guide and Applicability of Hearing Session Fees
Special Election to Fill a Small Firm Vacancy on the National Adjudicatory Council
FINRA Recommends Review of Municipal Securities Activities
FINRA Provides Guidance on its Enforcement Process
FINRA Fund Analyzer Overview | What's New | Types of Calculations Available in the Fund Analyzer | Using Search | Understanding the Analyzer's Results | Share the Results of Your Analysis | Printing or Saving Your Analysis | Help | Feedback | Using the Advanced OptionsHow to Configure the Fund Analyzer for Transaction ("Clean") Share Calculations Types of Calculations
FINRA Revises Portfolio Margining Risk Disclosure Statement and Written Acknowledgment for Customers Using Portfolio Margin Accounts
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PORTAL-Designated Equity Securities Directory
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Executive Summary
Nasdaq® is publishing a list of PORTAL®-designated equity securities for the reporting requirements of PORTAL equity transactions that will be effective on June 16, 2001.
On March
Managing retirement income starts with knowing what your sources of income will be—from Social Security to an employer-sponsored retirement savings account like a 401(k)—and the rules that govern each income source.
SUGGESTED ROUTINGSenior ManagementLegal & Compliance Executive SummaryNASD Regulation, Inc., is announcing that, effective January 2, 1998, a new arbitration process fee will be assessed on members that are parties to arbitration proceedings, and on members that employ associated persons who are parties to arbitration proceedings. The fee will be imposed in two parts: a
