Displaying 7971 - 7980 of 8266 Results
Notice to Members 99-96
INFORMATIONAL Employment Arbitration Rules Effective Date: January 18, 2000 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Registered Representatives Arbitration Discrimination Employment 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
Information Notice - 11/21/22
Summary The national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 25, 2022 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options. FINRA reminds firms that, pursuant to FINRA Rule 2360(b)(23)(A)(viii), if a national options exchange or The Options Clearing Corporation announces a modified time for the close of trading
Notice to Members 06-38
GUIDANCE Life Settlements SUGGESTED ROUTING KEY TOPICS Internal Audit Legal and Compliance Retail Senior Management Variable Life Settlements Variable Insurance Policies Suitability Best Execution Rule 3010 Executive Summary Sales of existing life insurance policies to third parties—often referred to as "life settlements"—have grown exponentially in recent years, and
Notice to Members 99-32
Comment Period Expires May 31, 1999 SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration
Regulatory Notice 11-17
Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings
Regulatory Notice 12-07
FINRA Requests Comment on Proposed Amendments Relating to Reporting of OTC Trades Executed in a Mixed Capacity
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
Election Notice – 8/12/16
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Notice to Members 01-13
REVISED — SUPERSEDES NTM 01-041 INFORMATIONAL Rules For Arbitrator Challenges Effective Date: March 8, 2001 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Registered Representatives Arbitration Arbitrator Challenges Executive Summary On December 8, 2000, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities
Notice to Members 01-04
INFORMATIONAL Rules For Arbitrator Challenges Effective Date: February 12, 2001 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Registered Representatives Arbitration Arbitrator Challenges Executive Summary On