Displaying 8601 - 8610 of 9457 Results
Notice To Members 92-61
SUGGESTED ROUTING:* Legal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission (SEC) has approved changes to Form BD, the Uniform Application for Broker/Dealer Registration. The amendments, developed in consultation with the NASD, North American Securities Administrators
Remarks from the National Compliance Outreach Program for Broker-Dealers
Remarks From the National Compliance Outreach Program for Broker-Dealers
Notice to Members 03-18
INFORMATIONAL NAC Nominations Nomination Deadline: May 9, 2003 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management National Adjudicatory Council Executive Summary The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill two upcoming vacancies on the National Adjudicatory Council (NAC). The three-
Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
Monthly Disciplinary Actions April 1996
Unless otherwise indicated, suspensions will begin with the opening of business on Monday April 15, 1996. The information relating to matters contained in this section is current as of April 5, 1996. Information received subsequent to April 5, 1996 is not reflected in this section. Firm Expelled, Individuals Sanctioned M. Rimson & Co. Inc. (New York, New York), Moshe Rimson (Registered
Notice to Members 02-74
ACTION REQUESTED Public Information Review Comment Period Expired: December 2, 2002 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Senior Management Public Information Review
Testimony Before the Subcommittee on Oversight and Investigations Committee on Financial Services
Testimony of Chairman and CEO Richard G. Ketchum Before the Subcommittee on Oversight and Investigations Committee on Financial Services
Notice To Members 89-9
SUGGESTED ROUTING* Senior ManagementInternal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr
Notice To Members 88-57
SUGGESTED ROUTING* Corporate Finance Institutional Legal & Compliance Operations Research Syndicate *These are suggested departments only. Others may be appropriate for your firm. As of July 22, 1988, the following 30 issues joined the NASDAQ National Market System
Regulatory Notice 10-57
Funding and Liquidity Risk Management Practices