Displaying 5611 - 5620 of 8998 Results
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Trading
Training
Executive Summary
On December 7, 1994, in SEC Release No. 34-35059, File No. SR-NASD-94-15, the Securities and Exchange Commission (SEC) approved amendments to the NASD Free-Riding and Withholding Interpretation (Interpretation), an Interpretation of the Board of Governors under
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Effective August 1, 1989, the requirement to report daily price and volume in non-
INFORMATIONALDistrict ElectionsSUGGESTED ROUTINGKEY TOPICSLegal and ComplianceOperationsRegistrationSenior ManagementDistrict ElectionsExecutive SummaryThrough this Notice, NASD announces the election results for the District Committees and the District Nominating Committees. The newly elected District Committee members will serve until January 2007.1District 10 (New York) had an additional
Srongly believe the proposed regulations are: Bad for Investors. If the proposal is adopted, some investors who could benefit from the enhanced return and portfolio protection potential of leveraged and inverse funds could be prevented from buying them by an overly burdensome qualification process. Brokerage firms could even stop offering these funds altogether due to the difficulty of
Note: Only NASD member Executive Representatives are allowed to vote. Ballots with voting instructions were distributed with the print version of this Notice.
ACTION REQUESTED
NASD By-Law Amendments
Last Voting Date: January 22, 2001
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Corporate Governance
NASD By-Laws
Executive Summary
The National Association
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Mutual Fund
Operations
Training
Executive Summary
On March 24, 1997, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) for its approval Amendment No. 4 to proposed NASD®Rule 2350, which specifies requirements applicable to broker/dealers operating on the
The Digital Communication section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
2024 Holiday ScheduleMonday, January 1, 2024New Year’s Day ObservationMonday, January 15, 2024Martin Luther King, Jr. DayMonday, February 19, 2024Presidents' DayFriday, March 29, 2024Good Friday (system closed)Monday, May 27, 2024Memorial DayWednesday, June 19, 2024JuneteenthWednesday, July 3, 2024Day before Independence Day (1 p.m. early close)Thursday, July 4, 2024Independence DayMonday,
INFORMATIONAL
NASD and NYSE Joint Release on
Section 311 of the USA PATRIOT Act
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Anti-Money Laundering
Discussion
This Notice reminds member organizations that the Financial Crimes
Enforcement Network (FinCEN) has issued a final rule imposing a
special measure,1 which becomes effective August 14, 2006