Mr. Chairman and Members of the Subcommittee: Thank you for inviting us to testify on financial literacy and for allowing us to submit this statement for the record. NASD is committed to expanding the knowledge and confidence of all Americans wishing to build a more secure financial future through saving and investing.
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
FINRA Secures Relief for Member Firms for Certain Record Retention Requirements; Effective Date: February 19, 2008
April 2008 Supplement to the Options Disclosure Document
Upcoming Election to Fill FINRA District Committee Vacancies
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Training
Executive Summary
The NASD® reminds members that registered persons who do not satisfy their Regulatory Element computer-based training requirement within the 120-calendar-day period beginning on the second, fifth, or tenth anniversary of their initial securities registration or of the date of a serious
FINRA Announces SFAB, NAC and District Committee Election Results and Appointments
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Today I'm giving my first speech as FINRA's Chairman and CEO—and I can't think of a better audience for the occasion, although all of us wish the economic circumstances of the occasion were quite different. The fact that you are here speaks volumes about your commitment to build the most effective control environment possible at your firms.
Beginning September 30, 2009, FINRA will publish on its Web site a Monthly Short Sale Transaction File to provide public access to certain transaction data, including transaction times, price, and number of shares for every short sale transaction in an NMS stock. FINRA also will begin publishing a Daily Short Sale Volume File in the fourth quarter of 2009, which will provide aggregate daily short
