Displaying 891 - 900 of 1255 Results
Regulatory Notice 11-04
FINRA Requests Comment on Proposed Amendments to FINRA Rule 5122 to Address Member Firm Participation in Private Placements
Regulatory Notice 15-20
Qualification Examinations Restructuring Regulatory Notice Notice Type Request for Comment Referenced Rules & Notices FINRA Rule 8310 NASD Rule 1031 NASD Rule 1032 NASD Rule 1070 Suggested Routing Compliance Legal Operations Registration Senior Management Training Key Topics Central Registration
Regulatory Notice 15-23
FINRA Provides Limited Relief Regarding Requirement to Promptly Transmit Funds in Connection With Sales of Securities on a Subscription-Way Basis for the Purpose of Completing Suitability Reviews Under Identified Conditions
Notice to Members 99-07
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts As of November 23, 1998, the following bonds were added to the Fixed
Regulatory Notice 09-70
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Registration and Qualification Requirements
Interpretive Letter to Mr. Julian Rainero, Bracewell & Giuliani LLP
NASD Rules 6950-6957 (OATS)
Notice to Members 01-57
INFORMATIONAL NAC Nominations Nomination Deadline: September 14, 2001 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management National Adjudicatory Council Executive Summary The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill two upcoming vacancies on the National Adjudicatory Council (NAC). The
Election Notice - 5/15/09
Notice of Special Meeting of Large Firms and Proxy
Regulatory Notice 24-13
SummaryDay trading broadly refers to an overall trading strategy where a customer effects both buy and sell transactions in the same security in the same day to profit from movements in the price of the security. FINRA has had longstanding rules designed to limit the potential losses from day trading for both customers and members, and to ensure the risks of day trading are disclosed to customers
Notice to Members 06-72
NTM 06-72 supersedes NTM 06-60GUIDANCE Customer Account Statements SUGGESTED ROUTING KEY TOPICS Individual Investors Legal & Compliance Operations Registered Representatives Senior Management Clearing Firms Customer Account Statements Introducing Firms NASD Rule 2340 SIPA (Securities Investor Protection Act) SIPC (Securities Investor Protection Corporation) Executive