Displaying 27881 - 27890 of 28149 Results
Notice of Annual Meeting of FINRA Firms and Proxy
SEC Approves Rule Amendment Requiring That ADF Market Participant Provide Advance Written Notice When Denying Access; Effective Date: October 20, 2004
Notice of FINRA District Committee Elections and Ballots
GUIDANCE
Appeals of Qualification Examination Waiver Requests
Effective Date: September 1, 2004
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
National Adjudicatory Council
Qualifications ExaminationsRule 1070Rule 9600 Series
Executive Summary
On July 27, 2004, the Securities and Exchange
GUIDANCE
Expungement
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Affidavits
Arbitration
Central Registration Depository System (CRD® or CRD system)
Customer Dispute Information
Dispute Resolution
ExpungementRule 2110Rule 2130
Executive Summary
On December 16, 2003, the
GUIDANCE
Security Futures Rules
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Registered Principals
Senior Management
Continuing EducationRule 1022 (Categories of Principal
Registration)Rule 1032 (Categories of
Representative Registration)
Security Futures
Executive Summary
On October 16, 2006, NASD filed with the
GUIDANCE
Short Sales
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Trading
Bona Fide Market Making
Short SalesRule 5100IM-5100
Executive Summary
Rule 5100 generally prohibits a member from effecting short sales
in NASDAQ Global Market (NGM) securities1 otherwise than on an
exchange for a customer account, or the member's own
INFORMATIONAL
Restrictions On Unregistered Persons
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Training
Cold Calling
Telemarketing
Unregistered Persons
Executive Summary
In light of recent federal law, NASD Regulation, Inc. (NASD RegulationSM) has withdrawn its rule proposal addressing the
GUIDANCE
Net Trading Requirements
Effective Date: October 2, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Net TradingRule 2441
Executive Summary
On June 30, 2006, the Securities and Exchange Commission (SEC)
approved new NASD Rule 2441, Net Transactions with Customers,
which
Notice of Annual Meeting of FINRA Firms and Proxy