Displaying 1191 - 1200 of 6832 Results
Did you mean: https://www.docteur-fitness.com/ le site francis alec les meilleurs information sur l'actualité ?
Election Notice – 9/4/25
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
Notice to Members 06-52
REQUEST FOR COMMENT Proposed Amendments to Rule 2720 SUGGESTED ROUTING KEY TOPICS Corporate Financing Legal & Compliance Senior Management Trading & Market Making Affiliate Conflicts of Interest Equity & Debt Offerings Investment Banking Qualified Independent Underwriter Rule 2710 Rule 2720 Underwriting Compensation Executive Summary NASD is issuing
Herbert Siegert Comment On Regulatory Notice 22-08
I strongly oppose placing restrictions on what I as an informed investor can invest in. Although not the majority of my investments, leveraged funds are a cornerstone to my investment strategy. If the information is freely available, informative, and not deceptive, I do believe that FINRA should restrict access to what I can invest in. It should be up to the individual to determine the level
Regulatory Notice 10-02
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010
Cybersecurity Alert - Vulnerabilities in FortiManager
Companies that use Fortinet’s FortiManager product could be exposed to a remote, unauthenticated attacker executing arbitrary code or commands due to a critical product vulnerability (CVE-2024-47575), according to two recent alerts from the Cybersecurity & Infrastructure Security Agency (CISA).
Regulatory Notice 09-01
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009
Upcoming FINRA Board Meeting
The FINRA Board of Governors is holding its third meeting of the year this week.
Will Comment On Regulatory Notice 21-19
I cannot believe in the "greatest country in the world" we have to comment on whether transparency on the very thing that provides a backbone for the world economy is a good idea. ALL information regarding what occurs on our markets should be readily accessible by everyone. Having a select few entities control all of the information is the definition of an oligarchy in a world where
Notice to Members 02-27
INFORMATIONAL Membership And Registration Rules SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registration Training Direct Participation Programs Limited Principal (Series 39) Direct Participation Programs Limited Representative (Series 22) Equity Trader Limited Representative (Series 55) Financial and
Notice to Members 03-42
INFORMATIONAL Revised Forms U4 and U5 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registered Representatives Registration Senior Management Training Central Registration Depository Form U4 Form U5 Statutory Disqualification Executive Summary The Securities and Exchange Commission (SEC