Displaying 27451 - 27460 of 28151 Results
SEC Approves Amendments to TRACE Reporting Requirements to Conform With Requirements in the Multi Product Platform
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Registration
Systems
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) Board of Governors has approved changes to Schedule A of the NASD By-Laws affecting the Central Registration Depository (CRDSM) fee structure. The changes set registration
FINRA Announces Nomination Process to Fill Upcoming Small Firm Vacancy on the National Adjudicatory Council
Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls; Comment Period Expires: June 13, 2008
Information Notice - 8/26/08: June 2008 Supplement to the Options Disclosure Document
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 conduct the
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
The National Association of
September 2008 Supplement to the Options Disclosure Document
New Criteria and Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session