FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Revised Last Voting Date: September 14, 1998
(Note: voting by NASD member Executive Representatives only through mail ballots distributed with print version of this Notice.)
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The National Association of Securities Dealers,
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Guidance on Blogs and Social Networking Web Sites
FINRA Requests Comment on Proposed FINRA Rules Requiring the Identification of Non-Member Broker-Dealers in Order Audit Trail System (OATS) Reports and the Reporting of Additional Order Information by Alternative Trading Systems (ATS)
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
