Notice To Members 92-11
SUGGESTED ROUTING:* |
Senior Management |
EXECUTIVE SUMMARY
Members are reminded of their obligation that all fees and charges for services must be reasonable and that adequate prior notice be given to customers.
For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
SUGGESTED ROUTING:* |
Senior Management |
EXECUTIVE SUMMARY
Members are reminded of their obligation that all fees and charges for services must be reasonable and that adequate prior notice be given to customers.
SUGGESTED ROUTING:* |
Senior Management |
On January 30, 1992, the United States District Court for the District of Utah appointed a Securities Investor Protection Corporation (SIPC) trustee for:
SUGGESTED ROUTING:* |
Internal Audit |
As of January 27, 1992, the following 43 issues joined the Nasdaq National Market, bringing the total number of issues to 2,690:
SUGGESTED ROUTING:* |
Internal Audit |
SUGGESTED ROUTING:* |
Internal Audit |
As of February 24, 1992, the following 58 issues joined the Nasdaq National Market, bringing the total number of issues to 2,725:
SUGGESTED ROUTING |
Senior Management Government Securities Institutional Internal Audit Legal & Compliance Municipal Operations Syndicate Trading Training *These are suggested departments only. Others may be appropriate for your firm. |
EXECUTIVE SUMMARY
SUGGESTED ROUTING:* |
Senior Management |
EXECUTIVE SUMMARY
SUGGESTED ROUTING:* |
Senior Management |
EXECUTIVE SUMMARY
SUGGESTED ROUTING:* |
Senior Management |
EXECUTIVE SUMMARY
SUGGESTED ROUTING:* |
Senior Management |
EXECUTIVE SUMMARY