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Trade Reporting Notice - 7/1/08
FINRA Announces the Effective Date of Modifications to the TRACE System; Effective Date: August 4, 2008
Notice to Members FYI April 1998
For Your Information
Regulatory Notice 10-06
Guidance on Blogs and Social Networking Web Sites
Notice To Members 93-12
SUGGESTED ROUTING Senior ManagementLegal & ComplianceMutual Fund Executive Summary Since the Securities and Exchange Commission (SEC) approved new NASD® rules governing investment company sales charges on July 7, 1992, the NASD has fielded numerous questions from member firms and mutual funds concerning the interpretation and application of these rules. In anticipation of
Notice to Members - July 1999
Updates.
Notice To Members 92-16
SUGGESTED ROUTING Senior ManagementGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalOperationsSyndicateTradingTraining*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY Fairness of markups and markdowns charged by members in principal equity transactions with customers has become an increasingly important
Notice to Members FYI December 1998
For Your Information
Trade Reporting Notice - 2/22/08
FINRA Announces Modifications to the TRACE System Relating to Certain Securities with Equity CUSIPs and Reminds Firms of Their Reporting Obligations Regarding Equity-Linked Notes and Convertible Debt
Notice to Members FYI December 1997
For Your Information
Notice to Members FYI August 1997
For Your Information