Displaying 8811 - 8820 of 10882 Results
Notice to Members 04-87
INFORMATIONALTrade Date–Settlement DateThis version corrects the Trade Dates and Settlement Dates for Columbus Day 2005.SUGGESTED ROUTINGKEY TOPICSInternal AuditLegal and ComplianceMunicipal/Government SecuritiesOperationsTrading and Market Making Holiday Trade Date–Settlement Date Schedule Martin Luther King, Jr., Day:Trade Date–Settlement Date ScheduleThe Nasdaq Stock Market®
Notice to Members 03-78
INFORMATIONAL Trade Date—Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal and Compliance Municipal/Government Securities Operations Trading and Market Making Holiday Trade Date-Settlement Date Schedule Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule The Nasdaq Stock Market® and the
Rulemaking Items for Discussion at the July 2012 Meeting
The FINRA Board of Governors will consider the following rulemaking items at its July 2012 meeting.
Notice to Members 02-84
Trade Date—Settlement Date SUGGESTED ROUTING KEY TOPICS   Internal Audit Legal and Compliance Municipal/Government Securities Operations Trading and Market Making   Holiday Trade Date-Settlement Date Schedule Trade Date—Settlement Date     The NASDAQ Stock Market and the
Information Notice - 3/16/09
New Rate for Fees Paid Under Section 31 of the Exchange Act
Notice to Members 01-82
INFORMATIONAL Trade Date — Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date—Settlement Date Schedule Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule The Nasdaq Stock Market® and the securities exchanges will be closed
Notice to Members 99-80
ACTION REQUIRED SOES Order Sizes SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Systems Trading SOES Maximum Order Sizes The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure. Executive Summary Effective October 1, 1999,
Notice to Members 00-88
INFORMATIONAL Trade Date — Settlement Date SUGGESTED ROUTING KEY TOPIC Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date — Settlement Date Schedule Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule The Nasdaq Stock Market® and the securities exchanges will be closed
Notice to Members 04-49
INFORMATIONAL Arbitrator Classification Effective Date: July 19, 2004 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Arbitration Arbitrators Dispute Resolution Executive Summary The Securities and Exchange Commission (SEC or Commission) has approved amendments to Rules 10308 and 10312 of the NASD Code of Arbitration
Regulatory Notice 13-28
FINRA Revises the Series 16 Examination Program