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Interpretive Letter to Newton B. Schott, Jr., PIMCO Funds
Application of registration and supervisory requirements to certain activities conducted by a member firm in the U.S. relating to sales outside the U.S. of foreign mutual funds.
Guide to Expedited Proceedings
In addition to disciplinary proceedings brought by FINRA’s Department of Enforcement, the Office of Hearing Officers also hears expedited proceedings. This Guide describes some of the Rules for expedited proceedings, which are fully set forth in Rule 9561 and the Rule 9550 and 9100 Series of FINRA’s Code of Procedure. The purpose of this Guide is to assist the reader in understanding FINRA’s
Notice to Members 98-101
Comment Period Expires: January 15, 1999 SUGGESTED ROUTING Senior Management Legal & Compliance Registered Representatives Registration Training NASD Regulation Request For Comment 98-101 Executive Summary NASD Regulation, Inc. (NASD Regulation SM) is proposing to amend disclosure questions on the Form U-4 and Form U-5 that were approved by the Securities and
Election Notice - 7/9/14
Notice of Annual Meeting of FINRA Firms and Proxy
Notice to Members 07-03
Reportable Options Positions, Options Position Limits and Exercise Limits SUGGESTED ROUTING KEY TOPICS Options Legal and Compliance Institutional Senior Management Operations Trading Aggregation Exercise Limits Index Options Large Options Position Reporting Options Position Limits Rule 2860 Executive Summary On November 15, 2006, the Securities and Exchange Commission (
Notice to Members 98-35
SUGGESTED ROUTING Senior Management Continuing Education Legal & Compliance Registration Training     Executive Summary     On March 3, 1998, the Securities and Exchange Commission (SEC) approved changes to the Continuing Education rules of the National Association of Securities Dealers
Election Notice - 8/3/12
FINRA Announces Upcoming Vacancy on the National Adjudicatory Council
Regulatory Notice 12-39
FINRA Requests Comment on TRACE Dissemination Issues
Remarks from the Council for Economic Education
Remarks by Richard Ketchum From the Council for Economic Education
Regulatory Notice 14-52
Pricing Disclosure in the Fixed Income Markets Regulatory Notice Notice Type Request for Comment Suggested Routing Compliance Legal Operations Senior Management Trading Key Topics Fixed Income Securities Pricing Information Transaction