Displaying 1451 - 1460 of 33908 Results
Election Notice – 9/8/17
FINRA Small Firm Advisory Board Election
Election Notice – 9/8/17
Upcoming Election to Fill FINRA District Committee Vacancies
Testimony Before the Subcommittee on Capital Markets, Securities, and Investment Financial Services Committee
Robert W. Cook's Testimony Before the Subcommittee on Capital Markets, Securities, and Investment Financial Services Committee
Notice to Members 98-08
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 as "Specially Designated Nationals and Blocked1 Persons" and about other OFAC regulations. On December 9, 1997, OFAC amended its regulations to require
Notice to Members 98-09
SUGGESTED ROUTING Senior Management Legal & Compliance Operations Registration Executive Summary The 1997-98 National Association of Securities Dealers, Inc. (NASD®) broker/dealer and agent registration renewal cycle begins its second phase this month. The NASD is publishing information in this Notice to help members review, reconcile, and respond to the Final
Notice to Members 98-10
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading Executive Summary On April 11, 1994, The Nasdaq Stock Market Inc., began operation of the Fixed Income Pricing SystemSM known as FIPSSM for members trading high-yield bonds. FIPS was created to facilitate the over-the-counter trading of
Notice to Members 99-08
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule
Notice to Members 98-11
Effective Date: February 15, 1998 SUGGESTED ROUTING Senior Management Advertising Legal & Compliance Mutual Fund Training     Executive Summary     On December 31, 1997, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (
Notice to Members FYI September 1997
For Your Information
Notice to Members 98-12
SUGGESTED ROUTING Internal Audit Legal & Compliance Municipal Operations Syndicate Systems Trading Presidents' Day: Trade Date — Settlement Date Schedule The Nasdaq Stock Market and the securities exchanges will be closed on Monday, February 16, 1998, in observance of Presidents' Day. "Regular way" transactions made on the business days