Displaying 891 - 900 of 2992 Results
Notice to Members 04-43
GUIDANCE Expungement SUGGESTED ROUTING KEY TOPICS Legal & Compliance Registered Representatives Senior Management Affidavits Arbitration Central Registration Depository System (CRD® or CRD system) Customer Dispute Information Dispute Resolution Expungement Rule 2110 Rule 2130 Executive Summary On
For Your Information - January 1991
NASD Encloses New Guide to Information and Services With this issue of Notices to Members, NASD members are receiving the new edition of the NASD Guide to Information and Services. The Guide is arranged by subject headings and includes the names and phone numbers for NASD contacts on each subject. Date Changes for January First Saturday Examination The date for the January 1991 first Saturday
Frequently Asked Questions about OATS Phase III
OATS Phase III Frequently Asked Questions
SR-FINRA-2022-009
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 1012, 1015, 6490, 9132, 9133, 9135, 9146, 9321, 9341, 9349, 9351, 9522, 9524, 9525, 9559 and 9630 to permit, and in some instances require, electronic service and filing of documents in disciplinary and other proceedings
For Your Information - September 1998
Year 2000 Update Reminder To Members About SEC Filing Requirements The Securities and Exchange Commission (SEC) recently amended its Rule 17a-5 to require all broker/dealers to file two reports concerning Year 2000, using Form BD-Y2K (Form). All members received this information available through NASD Special Notice to Members 98-63. The new reports relate to each member's readiness and
Notice To Members 87-87
TO: All NASD Members and Other Interested Persons LAST DATE FOR COMMENT: JANUARY 30, 1988. EXECUTIVE SUMMARY The NASD is requesting comments on proposed amendments to Schedule E to the NASD By-Laws relating to the definition of a qualified independent underwriter. A qualified independent underwriter is required by Schedule E to establish the price and conduct due diligence in public offerings of
Rule 401T Business Conduct
/01 Trading Against Firm Recommendations Reserved. /02 Private Sales Reserved. /03 Conversions, Acquisitions and Changes in Business Activities Member organizations are expected to notify the Exchange when planning important organizational or operational changes, such as mergers with or acquisitions of other broker/dealers or the acquisition of a significant electronic data processing system
Rule 401 Business Conduct
SR-FINRA-2019-009 has been approved by the SEC. Effective May 8, 2019, this rule will no longer be applicable. Please consult the appropriate FINRA rule. /01 Trading Against Firm Recommendations Reserved. /02 Private Sales Reserved. /03 Conversions, Acquisitions and Changes in Business Activities Member organizations are expected to notify the Exchange when planning
Notice To Members 88-89
SUGGESTED ROUTING* Senior Management Corporate Finance Legal & Compliance Syndicate *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The SEC has approved an amendment to the definition of qualified independent underwriter
Testimony Before the Subcommittee on Financial Management, the Budget and International Security Senate Committee on Government Affairs
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to submit this written statement for the record.