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This is one more example of Americans potentially losing more of their rights to benefit financially in an attempt to convert our capitalist system to communism.
I am against this action to it's core. All American's should have the right to make public investments, not just the so called privileged.
Leveraged fund investments are important investments as they help to enhance
Effective August 1, 1995
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Training
At its July 1995 meeting, the NASD® Board of Governors approved temporary fee increases for certain agent registration filings to help fund the redesign and implementation of the Central Registration Depository (CRD). The following fee increases are effective August 1, 1995:
Firms submit a FINRA New Issue Form in order to comply with FINRA Rules 6760 (Underwriter Obligation to Provide Notice), 6730 (Transaction Reporting), or 6620 (OTCE Symbol Request). The Issue Management System replaces the existing FINRA New Issue Form and will allow firms to:
submit new issues;
save draft submissions;
make changes and updates to previously submitted issues;
submit new
TO: All NASD Members and Other Interested Persons
The ribbon-cutting ceremony for the new 110,000-square-foot NASD Operations Center, which will serve the NASD membership and the NASDAQ market, will be September 17, 1986. The facility, located 18 miles north of Washington, D.C., in Rockville, Maryland, will support 200-million-share trading days and provide the first complete, back-up computer
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
As requested by the Department of Treasury (Treasury), the National Association of Securities Dealers, Inc. (NASD®) provides members with information from the Office of Foreign Assets Control (OFAC) about persons and entities identified
FINRA Foundation and United Way Announce Over $1.3M to Support Grassroots Financial Education
Uninvested cash is a potentially valuable part of your investment portfolio. So it pays to pay attention to it, especially when interest rates move up or down. Understand the facts about your uninvested cash, the different cash management programs available and questions to ask.
A firm’s journey to the cloud varied based on a given firm’s specific facts and circumstances. Several firms noted that cloud migration was not a simple, linear process, even with adequate preparation, and there was no easy formulaic way to conduct a migration, given the unique circumstances of each firm. Despite the difference in each firm’s journey, however, some common themes emerged regarding
TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers, Inc., is relocating its New York staff from its current World Trade Center location to new offices. The new address is:
NASD Financial Center33 Whitehall StreetNew York, New York 10004Telephone Number: (212) 858-4000
The relocation will be accomplished in stages as follows:
February 8
NASD
The use of a combined name on certain public communications to reflect a recent merger of two member firms and create a single global "brand," would not violate the requirement of Rule 2210 that public communications include the name of the member firm.