Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill two large firm seats and one small firm seat on the National Adjudicatory Council (NAC), and to announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies. Eligible individuals not nominated by the Nominating Committee who obtain the requisite
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
Executive Summary
On April 11, 1994, The Nasdaq Stock Market, Inc., began operation of the Fixed Income Pricing SystemSM (FIPS®) for members trading highyield bonds. FIPS was created to facilitate the over-the-counter (OTC) trading of high
NASD has filed with the Securities and Exchange Commission ("Commission") a proposed rule change to Rules 6530 and 7010 to clarify the availability of a process to review eligibility determinations under Rule 6530 and to adopt service based fees for issuers quoted on the OTC Bulletin Board ("OTCBB").
GUIDANCE
Research Analysts and Research
Reports
Compliance Date: June 6, 2005
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Investment Banking
Legal & Compliance
Operations
Research
Senior Management
Communications with the Public
Investment Banking
Research Analysts
Executive Summary
The Securities and Exchange Commission (SEC) has
Guidance on Blogs and Social Networking Web Sites
INFORMATIONAL
Compensation and Mixed Capacity Trading
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Training
Disciplinary Information
Executive Summary
The Nasdaq Stock Market, Inc. (Nasdaq®) and NASD Regulation, Inc. (NASD Regulation) believe that market rules should enhance investor
A list of frequently asked questions related to UPC.
General1. Q: Why does FINRA publish the Sanction Guidelines?A: FINRA publishes the Sanction Guidelines to familiarize member firms and associated persons with the disciplinary sanctions that could result from typical securities industry rule violations.2. Q: Who develops the sanctions and fines?A: The National Adjudicatory Council (NAC), the appellate body for FINRA disciplinary actions
Questions and answers regarding the Mutual Fund Breakpoint Assessment
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Executive Summary
Federal Reserve Board Regulation T governs the extension of credit to customers by broker/dealers. Among the provisions of Regulation T are requirements governing the initial margin
