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Series 79 – Investment Banking Representative Exam
The Series 79 exam — the Investment Banking Representative Exam — assesses the competency of an entry-level registered representative to perform their job as an investment banking representative.
Regulatory Notice 14-33
FINRA Revises the Series 24 and 23 Examination Programs
Quarterly Disciplinary Review - Winter Issue/November 2002
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
SR-NASD-2001-090
This filing was withdrawn and replaced by SR-NASD-2005-087. NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rules to reflect Nasdaq’s separation from the NASD upon its approval as a national securities exchange and to establish the rules that will govern trading otherwise than on an exchange, including transactions effected through the NASD Alternative Display
CRD Links
Provided are URLs (Internet addresses) to access Web CRD and the Web CRD site for Registered Representatives.
Supervoters and Stocks: What Investors Should Know About Dual-Class Voting Structures
The financial world of investing is filled with mathematical complexity, from the quantitative analysis behind certain trading strategies to the calculus used to determine the pricing of derivatives. But investors in most publicly traded companies can rely on one rather simple ratio: 1 to 1.
Interpretive Letter to Peter D. Koffler, Esq., Twenty-First Securities Corporation
Continuing Commissions permitted where the safeguards required by the rule have been implemented.
Notice to Members December 1998
Year 2000 Update
Notice to Members 99-52
Last Voting Date: July 16, 1999 SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund
Notice to Members 99-61
SEC Approves Changes To Rule 4613—Firm Quotation Requirements; Effective Date: August 2, 1999 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 Representatives