Displaying 971 - 980 of 1290 Results
Regulatory Notice 15-28
SEC Approves Amendments Relating to Web-based Delivery of the Regulatory Element of Continuing Education
Election Notice - 12/18/09
FINRA Announces Recently Elected and Appointed National Adjudicatory Council and Small Firm Advisory Board Members
Notice to Members 07-27
REQUEST FOR COMMENT SUGGESTED ROUTING KEY TOPICS Corporate FinancingExecutive RepresentativesLegal & ComplianceSenior ManagementOperations AffiliatesControl EntityInstitutional AccountsMember Private OfferingsPrivate PlacementsPrivate Placement MemorandumRegulation D Member Private Offerings Executive Summary NASD is issuing this Notice to Members to solicit comments from
Regulatory Notice 09-29
FINRA Requests Comment on Proposed FINRA Rule Addressing the Origination and Circulation of Rumors
Regulatory Notice 14-09
FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers
Frequently Asked Questions about Billing and Collections
FINRA assesses and collects regulatory fees that fund FINRA's regulatory activities, including the Gross Income Assessment (GIA), Personnel Assessment and Branch Assessment Fees, as well as user fees for the services FINRA provides.
Notice to Members 04-83
REQUEST FOR COMMENTFairness Opinions Issued by MembersComment Period Expires: January 10, 2005Note: The comment period was extended to February 1, 2005.SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementFairness OpinionsInvestment Banks Mergers and AcquisitionsProxy StatementsExecutive SummaryNASD is requesting comment on whether it should propose a new rule
Regulatory Notice 18-10
FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule
Regulatory Notice 20-05
Summary FINRA seeks comment on a proposal to implement the recommendations of the Securities Industry/Regulatory Council on Continuing Education (CE Council) enhancing the continuing education requirements for securities industry professionals.1 The proposal would change the: (1) Regulatory Element to provide annual training, make the content more relevant, incorporate diverse instructional
Statement Before the Subcommittee on Capital Markets of the U.S. House of Representatives’ Financial Services Committee
Thank you for the opportunity to appear today to discuss the important work that the Financial Industry Regulatory Authority, or FINRA, is doing to fulfill our mission under the federal securities laws to protect investors and safeguard market integrity while facilitating vibrant capital markets.