Displaying 27611 - 27620 of 28151 Results
INFORMATIONAL
Underwriting Activity Reports
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Technology
Trading and Market Making
Underwriting Activity Reports
Public Offerings
Executive Summary
NASD has amended its rules to require members to request Underwriting Activity Reports (UARs) from NASD's Market Regulation
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
Regulatory Element
Series 6 Program
Executive Summary
This NASD Notice to Members announces that Monday, January 14, 2002, is the effective date that the new Series 6 Program Regulatory Element (S106) for Investment Representatives
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance Operations Registration Senior Management
District Elections
Executive Summary
In early June, NASD will issue a formal Notice to Members soliciting candidates and explaining the process for nominating individuals to serve on both the District Committees and the District Nominating Committees.
In this
Various updates.
Upcoming FINRA Board of Governors Election
FINRA Requests Comment on Proposed Exemption to the Trading Activity Fee for Proprietary Trading Firms
New Account Application Template
For Your Information
FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business