Displaying 27571 - 27580 of 28151 Results
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Late Disclosure Fee Related to Reporting of Judgment/Lien Events
Continuing Education
Regulatory Notice
Notice Type
Guidance
Key Topic(s)
Continuing EducationFirm Element
Suggested Routing
Compliance
Continuing Education
Legal
Registration
Senior Management
PLEASE NOTE: On July 30, 2007, the Financial Industry Regulatory Authority, FINRA, began operations. FINRA was formed through the consolidation of NASD and the enforcement, member regulation and
Notice of FINRA Regional Committee Elections and Ballots
Notice of SFAB Election and Ballots
FINRA Announces Results of SFAB, NAC and District Committee Elections
Special Election to Fill FINRA Large Firm Governor Vacancy
(a) For purposes of this Rule, the term "security future" shall have the definition specified in Section 3(a)(55) of the Exchange Act.
(b) Requirements
(1) General
(A) Applicability — This Rule shall be applicable to the trading of security futures.
(B) Subparagraph (15) shall apply only to security futures carried in securities accounts
Various updates.