(a) Service on Each Party
Other than a complaint, order, notice, or decision, any paper, including an answer and a motion, shall be served on each Party by the Party on whose behalf such paper was prepared or by his or her counsel or representative.
(b) How Served
The Parties shall serve documents by electronic mail, unless an alternative method of service is ordered by the Adjudicator.
CRD Payment Methods and Addresses
Please stop shutting down our capitalist system. Do not take away the citizen's right to invest in any fund we wish. I myself am well aware of the risk found in "leveraged and inverse funds" which is why I use it as a hedge against a market downturn, and I only use a small fraction of my portfolio for my inverse funds. I do not need to take a test or exam to prove I know what I am
SUGGESTED ROUTING
Senior Management
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Registered Representatives
TO: All NASD Members and Other Interested Persons
ATTN: Training Directors and Registration Personnel
The purpose of this notice is twofold:
Part I announces the availability in mid-March of study outlines for a revised Series 7 General Securities Representative Qualification Examination. Pending SEC approval, it is expected that this new version of the test will be introduced at the June 1986
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to delete the rules related to the OTC Bulletin Board® Service (“OTCBB”) and cease its operation, and to enhance the regulation of quotations in OTC Equity Securities by adopting new requirements for member inter-dealer quotation systems.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and the American Library Association (ALA) have announced $1.8 million in grants to 21 recipients as part of the Smart investing@your library® initiative.
Smart investing@your library® is administered jointly by the Reference and User Services Association—a division of ALA—and the FINRA Investor
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
INFORMATIONAL
Corporate Debt Securities
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KEY TOPICS
Corporate Finance
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Operations
Senior Management
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Debt Securities
OperationsRule 6200 Series
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Executive Summary
On June 18, 2003, the Securities and Exchange Commission (SEC or
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the NASD Rule 7000 Series (Charges for Services and Equipment) to delete references to systems and services that will no longer be provided by NASD upon the operation of NASD's Alternative Display Facility (the "ADF") for non-Nasdaq exchange-listed
