Displaying 801 - 810 of 1291 Results
Notice to Members 98-19
SUGGESTED ROUTING Senior Management Internal Audit Legal & Compliance Operations Systems Executive Summary The Securities and Exchange Commission (SEC) is requesting comment on proposed amendments to Rule 15c3-1, the Net Capital Rule. The SEC proposes to create a new category of broker/dealer for affiliates conducting an OTC derivatives business that would have
Notice to Members 97-83
SUGGESTED ROUTING Senior Management Legal & Compliance Operations Systems Trading Executive Summary In light of the recent approval of the new and increased listing standards for The Nasdaq Stock MarketSM (Nasdaq®), the Securities and Exchange Commission (SEC) has again provided an exemption from the filing requirements of SEC Rule 15c2-11 for certain securities
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
Election Notice - 9/4/09
FINRA Small Firm Advisory Board Election
Notice to Members 04-15
INFORMATIONALDo-Not-Call RegistryEffective Date: March 31, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsRegistered RepresentativesSenior ManagementTrainingCold CallDo-Not-CallTelemarketingTelephone SolicitationEstablished Business RelationshipExecutive SummaryOn January 12, 2004, the Securities and Exchange Commission (SEC or Commission) approved amendments to NASD 
Election Notice - 10/10/08
FINRA Small Firm Advisory Board Election
Notice to Members 02-76
INFORMATIONAL Corporate Debt Securities Transactions Subject to Reporting and Dissemination SUGGESTED ROUTING KEY TOPICS Continuing Education Legal & Compliance Registration Senior Management Foreign Deferrals In-Firm
Regulatory Notice 18-26
FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education
X. Sales Practices [Version up to February 28, 2019]
•  Borrowing From or Lending to Customers—Failure to Comply With Rule Requirements •  Churning or Excessive Trading •  Communications With the Public—Late Filing; Failing to File; Failing to Comply With Rule Standards or Use of Misleading Communications •  Customer Account Transfer Contracts—Failure to Comply
Notice to Members 98-99
SUGGESTED ROUTING Senior Management Internal Audit Legal & Compliance Operations Systems Executive Summary On November 3, 1998, the Securitiesand Exchange Commission (SEC)issued a No-Action Letter to clarify itsposition under SEC Rule 15c3-1 (NetCapital Rule) regarding the