Displaying 1451 - 1460 of 33882 Results
Notice to Members 99-04
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts Executive Summary A revised edition of
Notice to Members 99-05
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts Executive Summary On September 9, 1998,
Monthly Disciplinary Actions September 2017
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
J.P. Morgan Securities LLC
Notice to Members 98-07
Effective Date: April 1, 1998 SUGGESTED ROUTING Senior Management Corporate Finance Legal & Compliance Operations Systems Trading Executive Summary Effective April 1, 1998, foreign equities and American Depositary Receipts (ADRs) that are not registered with the Securities and Exchange Commission (SEC) under Section 12 of the Exchange Act will no longer be
Notice to Members 99-06
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts Executive Summary The 1998-1999 renewal
Notice to Members 97-55
SUGGESTED ROUTING   Senior Management Internal Audit Legal & Compliance Operations Registration Training Executive Summary On April 18, 1997, the National Association of Securities Dealers, Inc. (NASD®) proposed to the Securitiesand Exchange Commission (SEC or Commission) SR-NASD- 97-28, a rule filing containing
Notice to Members 99-07
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 As of November 23, 1998, the following bonds were added to the Fixed
Election Notice – 9/8/17
FINRA Small Firm Advisory Board Election
Election Notice – 9/8/17
Upcoming Election to Fill FINRA District Committee Vacancies