Displaying 911 - 920 of 1256 Results
Regulatory Notice 18-27
Restructured Qualification Examinations and Related Examination Fees
Notice to Members 01-30
INFORMATIONAL Disclosure Of Order Routing SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Senior Management Exchange Act Rule 11Ac1-6 Disclosure of Order Routing Executive Summary Rule 11Ac1-6 under the Securities Exchange Act of 1934 (Exchange Act) requires all broker/dealers that route customer orders in equity and option
Regulatory Notice 14-48
FINRA Requests Comment on a Proposal to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
Notice to Members 01-56
ACTION REQUESTED Board Elections SUGGESTED ROUTING KEY TOPICS Executive Representatives Board Elections The Annual Meeting of Members of the National Association of Securities Dealers, Inc. (NASD®) will be held on September 13, 2001, at 10:00 a.m., at the Loews L'Enfant Plaza Hotel, 480 L'Enfant Plaza, SW, in Washington, DC. The purpose of the meeting is to
Regulatory Notice 07-51
Minor Rule Violation Plan Regulatory Notice Notice TypeRule Amendment Referenced Rules & NoticesNASD IM-9216 NASD Rule 9216 NYSE Rule 476A SEC Rule 19d-1(c)(2) Suggested Routing Compliance Legal Operations Registered Representatives Senior Management Key Topic(s)Minor Rule Violation Plan (MRVP) Executive Summary Effective September 24, 2007, the list of violations eligible for
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 12-10
FINRA Requests Comment on Ways to Facilitate and Increase Investor Use of BrokerCheck Information
Regulatory Notice 10-45
SEC Approval and Effective Date for New Consolidated FINRA Rules Regarding Margin Requirements, Daily Record of Required Margin, and Extension of Time Requests
Regulatory Notice 10-33
FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
Notice to Members 01-42
INFORMATIONAL NASD Board Of Governors Nominees SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management NASD Board Of Governors National Association of Securities Dealers, Inc. Notice Of Nominees The Annual Meeting of members of the National Association of Securities Dealers, Inc. (NASD®) will be held on September 13, 2001. The formal notice of the