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INFORMATIONAL
NAC Nominee
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to announce the nominee for the National Adjudicatory Council (NAC) from the North Region. The nominee, nominated for a three-year term beginning in January
March 2011 Supplement to the Options Disclosure Document
Guidance on Reporting Electronic Communications Network (ECN) Transactions
FINRA Designates Additional Index Available for Conventional Equity Options Position Limits Calculation
FINRA Announces the Effective Date of Modifications to the TRACE System; Effective Date: August 4, 2008
FINRA Survey to Create the Securities Trader Qualification Examination
Continuing Education Planning
(a) Requirements for Public Offerings
(1) General
(A) No member or person associated with a member shall participate in a public offering in which the terms and conditions relating thereto, including the aggregate amount of underwriting compensation, are unfair or unreasonable pursuant to this Rule or inconsistent with any By-Law or any rule or regulation of
(a) Requirements for Public Offerings
(1) General
(A) No member or person associated with a member shall participate in a public offering in which the terms and conditions relating thereto, including the aggregate amount of underwriting compensation, are unfair or unreasonable pursuant to this Rule or inconsistent with any By-Law or any rule or regulation of
FINRA Requests Comment on a Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications With the Public