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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
Notice To Members 91-68
SUGGESTED ROUTING:* Senior ManagementInternal AuditLegal & ComplianceMutual FundTraining*These are suggested departments only. Others may be appropriate for your firm. MAIL VOTE EXECUTIVE SUMMARY The NASD invites members to vote on a proposed amendment to Article III, Sections 26 and 29 of the NASD Rules of Fair Practice. The amendment would revise, simplify, and add a
Regulatory Notice 11-17
Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings
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
Information Notice – 7/17/20
FINRA is issuing this Information Notice to inform members of a scheduled industry presentation by the Cross Market Regulation Working Group (CMRWG) and FINRA CAT regarding SRO regulation of Consolidated Audit Trail (CAT) Compliance Rules and FINRA CAT’s role in CAT compliance. Please see the attached ISG CMRWG Regulatory Notice 2020-02 that was issued by the participants of the ISG CMRWG.
Notice to Members 99-35
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
Election Notice – 8/12/16
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Frequently Asked Questions about Residential Supervisory Locations (RSLs)
Frequently Asked Questions (FAQs) about RSL designations, including, among others, reporting and compliance, conditions and recordkeeping.