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Investor Bulletin: Making Sense of Financial Professional Designations
A financial professional designation is like a certification or credential. They’re different from registration or licenses. This bulletin can help investors better understand the professional designations financial professionals might use.
Notice to Members 04-93
GUIDANCEShort Sale RequirementsSUGGESTED ROUTINGKEY TOPICSInternal AuditLegal & ComplianceOperationsRegistered RepresentativesSenior ManagementSystemsTradingTrainingOATSRule 3110Rule 3210Rule 3350Rule 3370Rule 11830Rules 6950–6957Short SalesExecutive SummaryOn June 23, 2004, the Securities and Exchange Commission (SEC) adopted certain provisions of a new short sale regulation, designated
Regulatory Notice 18-34
SEC Approves Amendment to Require Alternative Trading Systems to Identify Non-FINRA Member Subscribers in TRACE Reports for U.S. Treasury Securities
Former Chairs of the Board of Governors
B. Howell Griswold, Jr.Alex, Brown & Sons, Baltimore, MD1939Francis A. BonnerBlair, Bonner & Company, Chicago, IL1940Robert W. BairdThe Wisconsin Company, Milwaukee, WI1941H. H. DewarDewar, Robertson & Pancoast, San Antonio, TX1942Henry G. Riter, 3rdRiter & Co., New York, NY1943Ralph ChapmanFarwell, Chapman & Co., Chicago, IL1944Ralph E. PhillipsDean Witter
9522. Initiation of Eligibility Proceeding; Member Regulation Consideration
(a) Initiation by FINRA (1) Issuance of Notice of Disqualification or Ineligibility If FINRA staff has reason to believe that a disqualification exists or that a member or person associated with a member otherwise fails to meet the eligibility requirements of FINRA, FINRA staff shall issue a written notice to the member. The notice shall specify the grounds for such disqualification or
11560. Certificate of Company Whose Transfer Books Are Closed
General Requirements A certificate of a company whose transfer books are closed indefinitely for any reason shall be good delivery only if the required ownership transfer indemnification is affixed to or recorded upon the certificate. The indemnification acknowledges the assignor(s)' ultimate responsibility for the ownership of the certificate as of the date of the indemnification and
Notice to Members 02-69
INFORMATIONAL Certificates of Deposit Effective Date: October 8, 2002 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Trading Operations Senior Management Certificates of Deposit Executive Summary NASD is issuing this Notice to supersede NASD Notice to Members 02-28 (Notice or Notice 02-28) and replace the guidance offered in Notice to
Regulatory Notice 12-56
SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Specified Pool Transactions and SBA-Backed ABS Transactions and to Reduce the Time to Report Such Transactions
2355. Supervision of Accounts
The provisions of Rule 2360(b)(20) shall apply to all customer accounts of a member in which transactions in index warrants, currency index warrants, or currency warrants are effected. The term "option" as used therein shall be deemed to include such warrants for purposes of this Rule. Amended by SR-FINRA-2008-032 eff. Feb. 17, 2009. Adopted by SR-NASD-95-37 eff. Sept.
Notice to Members 01-10
INFORMATIONAL Trade Date — Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date — Settlement Date Schedule Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule The Nasdaq Stock Market® and the securities exchanges will be