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Testimony of Vice Chairman, NASD President, Regulatory Policy and Oversight Mary L. Schapiro Before the Senate Committee on Banking, Housing and Urban Affairs Hearing on Military Sales
Mr. Chairman and Members of the Subcommittee: NASD is grateful to the committee for inviting us to testify on NASD's regulatory activities regarding inappropriate sales of certain investment products to members of the armed forces, and for allowing us to submit this statement for the record.
Notice To Members 90-39
SUGGESTED ROUTING* Senior Management Corporate Finance Legal & Compliance Syndicate Training *These are suggested departments only. Others may be appropriate for your firm. REQUEST FOR COMMENTS EXECUTIVE SUMMARY The NASD requests membership comment on proposed
Notice To Members 95-91
SUGGESTED ROUTING Senior Management Institutional Legal & Compliance Operations Options Systems Trading Effective November 13, 1995, tier sizes for 900 Nasdaq National Market® securities will be revised in accordance with paragraph 245 Ia7 of the Rules of Practice and Procedure for the Small Order Execution System (SOESSM). Under the SOES Rules, the maximum SOES order size for a
Remarks from FINRA Fixed Income Conference
Remarks From FINRA Fixed Income Conference
Trade Reporting Notice - 7/11/14
Obligation to Report Cancellations of OTC Trades in Equity Securities, Including Trades Declined by the Contra Party
Testimony Before the Committee on Banking, Housing, and Urban Affairs
Chairman Dodd, Ranking Member Shelby and Members of the Committee: I am Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
Information Notice - 1/8/14
2014 Annual Audit, FOCUS, Form Custody, Supplemental Statement of Income (SSOI) and Off-Balance Sheet (OBS) Report Filing Due Dates
Testimony Before the Committee on Financial Services Subcommittee on Investigations and Oversight
On behalf of the National Association of Securities Dealers ("NASD"), I want to thank the Committee for this opportunity to testify. My name is Daniel M. Sibears and I am a Senior Vice President and Deputy for Member Regulation at NASD in Washington, D.C.
Information Notice – 10/23/15
Continuing Education Planning
Notice to Members 02-22
INFORMATIONAL Continuing Education SUGGESTED ROUTING KEY TOPICS Continuing Education Legal & Compliance Registration Senior Management Continuing Education Firm Element Regulatory Element Executive Summary The Securities Industry/Regulatory Council on Continuing Education (the Council), which has advisory and consultative responsibilities for the development