Displaying 27601 - 27610 of 28151 Results
GUIDANCE
Trading Volume and Interest
SUGGESTED ROUTING
KEY TOPICS
Advertising
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Communications with the Public
Manipulative and Deceptive
Quotations
Publication of Transactions and
QuotationsRule 2120Rule 2210Rule 3310
Trading Interest
Trading Volume
Use of
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
INFORMATIONAL
Dispute Resolution Hearing Location
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Senior Management
Arbitration Dispute Resolution Mediation
Executive Summary
NASD Dispute Resolution has established San Juan, Puerto Rico as an additional hearing location, effective January 1, 2003. This will be the third hearing location established outside of the 48 contiguous
FINRA Requests Comment on a Proposed Rule to Require Disclosure of Conflicts of Interest Relating to Recruitment Compensation Practices
FINRA Reminds Alternative Trading Systems (ATSs) and ATS Subscribers of Their Trade Reporting Obligations in TRACE-Eligible Securities
FINRA Announces Nomination Process to Fill an Upcoming Vacancy on the National Adjudicatory Council
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Foreign Deferrals
In-Firm Delivery
Regulatory Element
Executive Summary
Effective July 14, 2003, the Regulatory Element Continuing Education Supervisors Program (S201) will be available at Pearson
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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons whose personal circumstances take them away from the industry for a time.
LEARN MORE ABOUT CHANGES TO THE SECURITIES INDUSTRY CE PROGRAM
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Corporate FinanceLegal and ComplianceOperationsSenior ManagementTechnologyTrading and Market MakingTraining
Debt SecuritiesOperationsRule 6200 SeriesTRACETransaction Reporting
Corporate Debt Securities
Executive Summary
The TRACE System is being enhanced to accept reports of transactions in TRACE-eligible securities in cases where the execution date is