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Notice To Members 90-67
SUGGESTED ROUTING* Senior Management Internal Audit Operation Trading *These are suggested departments only. Others may be appropriate for your firm. On June 30, 1988, the maximum SOES order size for all NASDAQ National Market System (NASDAQ/NMS) securities was established as follows:
Election Notice – 6/4/21
Executive Summary The annual meeting of FINRA firms will take place on or about Wednesday, September 1, 2021, to elect one Large Firm Governor, one Mid-Size Firm Governor, and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Monday, August 2
Regulatory Notice 15-01
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Notice to Members 04-60
GUIDANCEArbitrator Panel Training FeeEffective Date: September 16, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceArbitratorsArbitrationFeesExecutive SummaryOn June 16, 2004, the Securities and Exchange Commission (SEC) approved an NASD proposal to increase the fee for arbitrator panel training from $100 to $125.1 The fee change is effective on September 16, 2004.Questions/Further
Election Notice - 9/4/13
FINRA Small Firm Advisory Board Election
Information Notice - 10/21/08
New Account Application Template
Regulatory Notice 11-13
FINRA Revises Sanction Guidelines
Regulatory Notice 14-01
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Notice to Members 03-02
INFORMATIONAL Dispute Resolution Hearing Location SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Arbitration Dispute Resolution Mediation Executive Summary NASD Dispute Resolution has established San Juan, Puerto Rico as an additional hearing location, effective January 1, 2003. This will be the third hearing location established outside of
Notice to Members 03-40
INFORMATIONAL Continuing Education SUGGESTED ROUTING KEY TOPICS Continuing Education Legal & Compliance Registration Senior Management Foreign Deferrals In-Firm Delivery Regulatory Element Executive Summary Effective July 14, 2003, the Regulatory Element Continuing Education Supervisors Program (S201) will be