Displaying 901 - 910 of 1274 Results
Election Notice – 6/21/16
Upcoming FINRA Board of Governors Election
Notice to Members 97-23
SUGGESTED ROUTING Senior Management Legal & Compliance Operations Systems Trading Executive Summary The NASD® is publishing a direct participation program (DPP or limited partnership) directory in anticipation of the quotation of DPP securities on the OTC Bulletin Board® Service (OTCBB®) and the commencement of trade reporting of transactions in DPPs on May 15,
Regulatory Notice 22-11
Summary Recently, FINRA took enforcement action against several firms for failing to establish or maintain a reasonably designed supervisory system for recommendations of alternative mutual funds, also sometimes referred to as “alt funds” or “liquid alts” (“Alt Funds”). FINRA is continuing to note such deficiencies in its examinations and communications reviews of such products. This Notice
Interpretive Letter to Mr. Julian Rainero, Bracewell & Giuliani LLP
<p>NASD Rules 6950-6957 (OATS)</p>
Notice to Members 04-31
GUIDANCENAC NominationsNomination Deadline: May 17, 2004SUGGESTED ROUTINGKEY TOPICSLegal &amp; ComplianceSenior ManagementNational Adjudicatory CouncilExecutive SummaryThe 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 three-year terms of the NAC regional Industry
Interpretive Letter to Eric A. Arnold, Esq., Sutherland Asbill & Brennan LLP
A member is not an "affiliated member" of an insurance company for purposes of Rule 2820(g)(4)(D) where no control relationship exists between the entities.
Regulatory Notice 15-03
FINRA Requests Comment on Proposal to Require Alternative Trading Systems to Submit Quotation Information Relating to Fixed Income Securities to FINRA for Regulatory Purposes
Election Notice – 8/21/17
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Regulatory Notice 20-34
Summary The protection of senior investors is a top priority for FINRA. In August 2019, FINRA launched a retrospective review to assess the effectiveness and efficiency of its rules and administrative processes that help protect senior investors from financial exploitation. The review indicated that FINRA’s steps to protect seniors have provided helpful and effective tools in the fight against
Regulatory Notice 10-25
FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals