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Rule 2260
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Operations Senior Management
Designated Investment Adviser Definition Rule ModernizationRule 2260
Executive Summary
Rule 2260 requires member firms to forward proxy material, annual reports, information statements, and other material sent to security holders, the beneficial owner, or the beneficial owner's designated
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council Petitions for Candidacy Due: September 16, 2013
Notice of FINRA District Committee Elections and Ballots
INFORMATIONAL
Introducing Web EFT and Fee Schedule for Registration Batch Filing and Data Download via Web EFT
Implementation Date: March 24, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Operations Registered Representatives Registration Senior Management Training
Web EFT
Executive Summary
NASD announces the implementation of Web EFT, a new, secure Web-based electronic
Nominee for Vacant FINRA Board of Governors Small Firm Seat
For Your Information.
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Table of Contents
2.1 Sizes and Counts
Figure 2.1.1 Total Number of FINRA-Registered Firms, 2018−2022
Figure 2.1.2 Firm Distribution by Size, 2018−2022
Table 2.1.3 Firm Distribution by Size, 2018−2022
Figure 2.1.4 Securities Industry Registered Firms by Type of Registration, 2013−2022
Table 2.1.5 Securities Industry Registered Firms by Type of Registration, 2013−2022
Figure 2.
ACTION REQUIRED
Broker/Dealer, Investment Adviser, and Individual (AG/RA) Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives Legal & Compliance Operations Registered Representative Registration Senior Management
Registration Renewals Web CRD Web IARD Maintenance Fees
Executive Summary
The 2003 NASD Broker/Dealer and Investment Adviser Registration Renewal Program
Executive Summary
NASD has adopted an amendment to Section 4(b) of Schedule A to the NASD By-Laws, establishing a fee to be imposed on members that fail timely to pay their annual Renewal Fee as indicated on their Preliminary Renewal Statement. The rule change was filed with the Securities and Exchange Commission (SEC) on July 25, 2002. Pursuant to Section 19(b)(3)(A)(ii) of the Securities
Upcoming Election to Fill FINRA District Committee Vacancies