Displaying 8951 - 8960 of 9395 Results
Notice to Members 00-14
ACTION REQUIRED Member Contact Information Update SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Registered Representatives Senior Management Members/Contact Information Executive Summary National Association of Securities Dealers, Inc. (NASD®) member firms must update their Member Firm Contact Questionnaire (NMFCQ or
Regulatory Notice 20-39
Summary The 2021 Renewal Program begins on November 16, 2020, when FINRA makes the Preliminary Statements available to all firms in E-Bill. Preliminary Statements are not mailed to firms. Firms should note the following key dates in the renewal process: October 19, 2020         Firms may begin submitting post-dated Form U5
Interpretive Letter to Name Not Public
<p>Whether a proposed standby purchase agreement entered into between affiliate of a member and an issuer in connection with a public offering of the issuer's common stock could constitute an option.<br/></p>
Notice to Members 00-06
INFORMATIONAL Decimalization SUGGESTED ROUTING KEY TOPICS Legal &amp; Compliance Operations Options Registered Representatives Senior Management Technology Trading &amp; Market Making Decimalization Executive Summary The National Association of Securities Dealers, Inc. (NASD®) is working to help make member firms aware of guidelines to begin trading in
Regulatory Notice 20-32
Summary FINRA has recently observed an increase in fraudulent options trading being facilitated by (1) account takeover schemes (sometimes referred to as account intrusions), through which a bad actor gains unauthorized entry to a customer’s brokerage account; and (2) the use of new account fraud1 by a bad actor who fraudulently establishes a brokerage account through identity theft.&nbsp;
Notice to Members 06-02
ACTION REQUIRED 2006 Final Renewal Statements and Reports SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal &amp; Compliance Operations Registered Representative Registration Senior Management IARDSM Maintenance Fees Registration Renewals Web CRD® Executive Summary The 2006 NASD Broker-Dealer and
Election Notice – 6/30/15
Notice of Annual Meeting of FINRA Firms and Proxy
Election Notice - 10/10/08
FINRA Small Firm Advisory Board Election
Election Notice - 8/26/08
Nominee for Vacant FINRA Board of Governors Small Firm Seat
Regulatory Notice 14-44
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2015