FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Remarks From the SIFMA Complex Product Forum
FINRA Secures Relief for Member Firms for Certain Record Retention Requirements; Effective Date: February 19, 2008
FINRA Small Firm Advisory Board Election
Private Placements and Public Offerings Subject to a Contingency
Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings
FINRA Small Firm Advisory Board Election
SEC Approval and Effective Date for New Consolidated FINRA Rules
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
