FINRA and ISG Announce Extension of Effective Date for Certain Electronic Blue Sheet Data Elements and Updates to Certain Requestor and Exchange Codes
SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Registration
Training
Executive Summary
Members are advised that the National Association of Securities Dealers, Inc. (NASD®) has filed a proposed rule change to its Membership and Registration Rule 1120 (
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Executive Summary
On April 22,1997,the Securities and Exchange Commission (SEC) approved amendments to the Interpretation on the Release of Disciplinary Information (NASD® IM-8310-2).These amendments authorize the release of public information on disciplinary complaints and non-final disciplinary
Remarks by Richard Ketchum From the 2014 FINRA Annual Conference
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
SUGGESTED ROUTING
Legal & ComplianceOperationsTrading
Executive Summary
On December 14, 1992, the Securities and Exchange Commission (SEC) approved a series of changes to the NASD® rules governing transaction reporting in Nasdaq National Market,® Nasdaq Small-Cap,SM and exchange-listed securities. These changes eliminate certain inconsistencies among parallel rules covering
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Revised Fee for Fingerprint Processing
FINRA Requests Comments on Proposed Changes to Forms U4 and U5; Comment Period Expired: May 27, 2008
Change for Scheduling Exam and CE Sessions
