Displaying 27581 - 27590 of 28151 Results
GUIDANCE
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education
(Council) has issued the annual Firm Element Advisory, a guide for
firms to use when developing their continuing education Firm
INFORMATIONAL
Dispute Resolution
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Arbitration
Dispute Resolution Regional Offices
Mediation
Executive Summary
Effective October 6, 2006, NASD will close its Mid-Atlantic Dispute
Resolution Office. All arbitration cases currently assigned to the
Mid-Atlantic Region will continue to be administered by
(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.
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the results of the contested
election for membership on the District Committee for District 7. Six
candidates were seeking to fill the three open seats on the District
Committee for
FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
Notice of SFAB Election and Ballots
Various updates.
2019 Involvement and Election Process Overview
FINRA Small Firm Advisory Board Election