INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
Continuing Education Regulatory Element Notifications And Reports
Inactive
ACTION REQUIRED
Broker/Dealer And Agent Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Registration
Renewals
Web CRD
Executive Summary
The 2001 Renewal Program for the National Association of Securities Dealers, Inc. (NASD®) broker/dealer and agent
Correction: On page 556, this Notice originally stated incorrectly that Nasdaq's regular trading hours are 9:30 a.m. to 6:30 p.m. ET. In fact, Nasdaq's regular trading hours are 9:30 a.m. to 4:00 p.m. ET and the Nasdaq extended hours session is 4:00 p.m. to 6:30 p.m. ET. The online and print versions of this Notice have been corrected.
ACTION REQUESTED
Limit Orders — Manning
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The board Govenors of the National association of Securities
Let the buyer beware. It is the buyer's responsibility to inform themselves or seek help. This "permission" in a breach of personal freedom. This ain't the country club....
SummaryThe purpose of this Election Notice is to notify FINRA mid-size firms of a contested election for a mid-size firm seat on the National Adjudicatory Council (NAC) and the distribution of ballots. The two open large firm NAC member seats are not contested; therefore, no election will be held for the large firm seats.Voting concludes in the NAC mid-size firm seat election on December 15, 2023
I oppose restrictions to my right to invest. As long as the fund clearly inform the investors how it works, the risk is up to the investors, not to the regulators.
Please do not limit our abilities to make choices. We are more informed about our needs and investments than government is.
FINRA Requests Comments on Proposed New Rules Governing Communications with the Public
If your firm (or other departments or divisions of your firm) is already an Equifax member then your firm needs to simply follow the steps below. There are no additional Equifax membership fees if your firm is already an Equifax member.
Complete an Equifax Membership Addendum: Existing members of Equifax should contact the Equifax Customer Service at 1(800) 796-6573 to request an Equifax
