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FINRA Announces the Effective Date of Modifications to the TRACE System; Effective Date: August 4, 2008
Continuing Education Planning
FINRA Requests Comment on a Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications With the Public
Nominees For District Committees And District Nominating Committees
Suggested Routing
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
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Operations
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Registered Representatives
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(a) Definition of Principal and Principal Registration Categories(1) Definition of PrincipalA "principal" is any person associated with a member, including, but not limited to, sole proprietor, officer, partner, manager of office of supervisory jurisdiction, director or other person occupying a similar status or performing similar functions, who is actively engaged in the management of
FINRA Announces Modifications Regarding Historic TRACE Data
2015 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Individual Snapshot Reports Now Available Online
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
INFORMATIONAL
NASD Board Of Governors Nominees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
NASD Board Of Governors
National Association of Securities Dealers, Inc. Notice Of Nominees
The Annual Meeting of members of the National Association of Securities Dealers, Inc. (NASD®) will be held on September 13, 2001. The formal notice of the meeting, including