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Interpretive Letter to Martin Miller, Esq., Willkie Farr & Gallagher
<p>A partnership registering as a broker/dealer, which will be trading only for its own account, has no customers for purposes of Rule 2330(f).</p>
Notice to Members 98-79
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal &amp; Compliance Municipal Operations Systems Trading As of July 23, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity ACCC.GA Advanced Accessory Corp 9.750 10/01/07 ACF.GB Amercredit Corp 9.250 02/01/04 ACHD.GA Amscan
TRACE Retransmission Vendors
TRACE data is available from a number of market data vendors, both via display applications and data feeds (and/or FTP files). Below is a partial listing of market data vendors that make TRACE data available as part of their service(s). Additional vendors may exist but have elected not to be listed. Please note the information presented has been provided to the Financial Industry Regulatory
Election Notice - 7/9/12
Notice of Annual Meeting of FINRA Firms and Proxy
Statement of Gerri Walsh, President, FINRA Investor Education Foundation; and Senior Vice President, FINRA Investor Education Before the U.S. Senate Committee on Banking, Housing, and Urban Affairs
Testimony by Senior Vice President of Investor Education and President of the FINRA Investor Education Foundation Gerri Walsh Before the Committee on Banking, Housing, and Urban Affairs United States Senate
Regulatory Notice 16-06
SEC Approval of FINRA Funding Portal Rules and Related Forms
Regulatory Notice 08-70
FINRA Provides Guidance Regarding Credit for Extraordinary Cooperation
Regulatory Notice 08-03
FINRA has made technical amendments to Forms U4, U5 and BR that, among other things, reflect the FINRA name change and update the current list of SROs, government jurisdictions and registration categories listed on the Forms. The online Forms will be updated with the changes described below on February 4, 2008.
Notice to Members 06-25
GUIDANCE Branch Office System Processing Fee SUGGESTED ROUTING KEY TOPICS Legal &amp; Compliance Registration Senior Management Branch Office Registration Fee Branch Office System Processing Fee Fees Schedule A to NASD By-Laws Executive Summary Effective July 3, 2006, NASD members will be assessed an annual $20 branch office system processing fee. Also effective July 3, 2006,
Notice to Members 98-80
SUGGESTED ROUTING Senior Management Legal &amp; Compliance National Association of Securities Dealers, Inc. Notice Of Nominees The Annual Meeting of members of the National Association of Securities Dealers, Inc. (NASD®) will be held on December 21, 1998. A notice of meeting, including the precise date, time, and location of the Annual Meeting, will follow on or about