Displaying 1541 - 1550 of 34762 Results
Regulatory Notice 08-47
08-47 - NASD Rule 3070(c) and Incorporated NYSE Rule 351(d) require all member firms to report on a quarterly basis statistical information regarding customer complaints.
Information Notice - 9/15/08
Information Notice - 9/15/08: Loose-Leaf FINRA Manual Subscription
Regulatory Notice 08-46
08-46 - Interpretive Guidance on Capital Treatment of Introducing Broker-Dealers' Clearing Deposits
Election Notice - 8/26/08
Nominee for Vacant FINRA Board of Governors Small Firm Seat
Information Notice - 8/26/08
Information Notice - 8/26/08: June 2008 Supplement to the Options Disclosure Document
Regulatory Notice 08-45
Effective September 22, 2008, FINRA will begin deducting all delinquent arbitration and mediation fees owed by member firms from their Central Registration Depository accounts.
Regulatory Notice 08-44
An amendment to the chairperson eligibility requirements of the Code of Arbitration Procedure for Customer Disputes and Industry Disputes that removes the alternative "substantially equivalent training or experience" criterion is effective September 22, 2008.
Regulatory Notice 08-43
SEC Approves Expanding Disseminated Real-Time TRACE Data
Trade Reporting Notice - 8/14/08
Trade Reporting Notice - 8/14/08 - Trade Reporting Frequently Asked Questions
Regulatory Notice 08-41
FINRA Announces Amendments to Make Permanent the Portfolio Margin Pilot Program