Displaying 8981 - 8990 of 9453 Results
Trade Reporting Notice – 11/7/11
Asset-Backed Securities Transaction Reporting Pilot Program Expires November 18, 2011
Information Notice - 4/13/13
Continuing Education Planning
Notice to Members 96-33
NASD Clarifies Rules Governing RR/IAs Suggested Routing Senior Management Internal Audit Legal & Compliance Registration Training Executive Summary On May 15, 1994, the NASD® issued Special Notice to Members 94-44, , which clarified the applicability of Article III, Section 40 of the NASD Rules of Fair Practice to investment advisory activities of registered representatives (
Information Notice - 4/11/14
Continuing Education Planning
Information Notice - 4/10/15
Continuing Education Planning
Notice to Members FYI June 2002
Submission of PAIB Computation in FOCUS Filings; Reporting INSITE Data
Notice to Members 03-69
ACTION REQUIRED Electronic Communications Networks Changes Effective: November 10, 2003 SUGGESTED ROUTING KEY TOPICS Executive Representative Legal & Compliance Operations Senior Management Transaction Reporting Electronic Communication Networks Executive Summary NASD is issuing this Notice to replace and
Notice to Members 03-55
See Nasdaq Head Trader Alert 2003-140 at: www.nasdaqtrader.com/dynamic/newsindex/headtraderalerts_2003.stm ACTION REQUIRED Electronic Communications Networks Changes Effective: October 6, 2003 SUGGESTED ROUTING KEY TOPICS Executive Representative Legal & Compliance Operations Senior Management Transaction Reporting
Election Notice – 8/13/18
FINRA Announces Nomination Process to Fill Upcoming Small Firm Vacancy on the National Adjudicatory Council
Information Notice – 10/23/15
Continuing Education Planning