Displaying 8031 - 8040 of 8301 Results
Improving Examination Results - April 2003
April 2003 In an effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each firm must
Notice To Members 93-30
SUGGESTED ROUTING Senior ManagementInternal AuditLegal & ComplianceOperationsSystems Executive Summary On November 24, 1992, the Securities and Exchange Commission (SEC) adopted significant amendments to the Net Capital Rule, Rule 15c3-1. The changes to the minimum net capital requirements will take effect in three installments beginning July 1, 1993; other changes took
Notice to Members 97-86
National Association of Securities Dealers, Inc. — 1735 K Street, NW — Washington, DC 20006 — 202-728-8000 November 15, 1997 Dear Member: We are in the process of planning for the 1998 Annual Meeting of Members where Members will be asked to elect 22 Governors. The Members and the SEC just approved changes to the NASD By-Laws designed to improve our corporate governance structure so that
Remarks From the SIFMA Complex Products Forum
Good afternoon and thank you for the invitation to join you this afternoon.
Regulatory Notice 21-10
Summary FINRA has updated the form that members must use to file offering documents and information pursuant to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) (Filer Form). The updated Filer Form will be accessible in the FINRA Gateway beginning  May 22, 2021, and includes new and updated questions that will facilitate
Election Notice - 10/17/12
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Regulatory Notice 18-24
Update to Security Futures Risk Disclosure Statement and Supplement
Election Notice - 10/19/11
Notice of Contested Election and Ballots for Small Firm NAC Member Seat
Notice to Members 07-16
GUIDANCE SUGGESTED ROUTING KEY TOPICS Legal & Compliance Regulatory Senior Management Financial and Operational Principals (FINOPs) SEC Rule 15c3-1 (Net Capital Rule) SEC Rule 15c3-3 (Customer Protection Rule) SEC Rule 17a-5 (Reports to Be Made by Certain Brokers and Dealers) Executive Summary NASD is issuing this Notice to
Regulatory Notice 18-42
FINRA Announces Updates of the Interpretations of Financial and Operational Rules