Displaying 27531 - 27540 of 28151 Results
FINRA Announces Two New Trade Reporting Modifiers Related to Regulation NMS
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
Executive Summary
The purpose of this Special Notice to Members is to
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
On December 3, 1998, the
SEC Approves Rule Requiring Delivery of an Educational Communication to Customers of a Transferring Representative
Guidance Relating to Firm Short Positions and Fails-to-Receive in Municipal Securities
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Notice of Special Meeting of Large Firms and Proxy
Change for Scheduling Exam and CE Sessions
FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments
Various updates.