Displaying 8881 - 8890 of 9395 Results
Information Notice - 8/1/12
New Criteria and Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Notice to Members FYI May 1997
For Your Information
Notice to Members 05-84
INFORMATIONAL District Elections SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registration Senior Management District Elections Executive Summary Through this Notice, NASD announces the results of the contested election for membership on the District Committee for District 7. Six candidates were seeking to fill the three open seats on the District
Election Notice - 10/17/12
Notice of FINRA Small Firm Advisory Board Election and Ballots
Regulatory Notice 21-20
Summary FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails (see sample in Appendix) purporting to be from FINRA and using the domain name “@gateway-finra.org.” The email asks the recipient to click a link to “view request” and provide information to “complete” that request, noting that “late submission may attract penalties.” FINRA recommends that
Election Notice - 9/3/14
FINRA Small Firm Advisory Board Election
Regulatory Notice 16-42
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2017
Information Notice 4/15/10
Continuing Education Planning
Information Notice - 3/24/10
New Firm Requirement to Designate a Super Account Administrator
Regulatory Notice 15-01
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches