Displaying 17991 - 18000 of 33922 Results
Regulatory Notice 17-16
FINRA Requests Comment on Proposed Limited Safe Harbor From FINRA Equity and Debt Research Rules for Desk Commentary
Regulatory Notice 17-15
FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule
Notice to Members 97-89
Effective Date: February 15, 1998 SUGGESTED ROUTING   Senior Management Advertising Internal Audit Legal & Compliance Mutual Fund Operations Training     Executive Summary     On November 4, 1997, in Release No. 34-39294, the Securities and Exchange Commission (SEC or
Regulatory Notice 17-14
FINRA Requests Comment on FINRA Rules Impacting Capital Formation
Notice to Members 97-90
SUGGESTED ROUTING Legal & Compliance Operations Systems Trading Executive Summary Effective January 1, 1998, tier sizes for 544 Nasdaq National Market® securities will be revised in accordance with National Association of Securities Dealers, Inc. (NASD®) Rule 4710(g). For more information, please contact Nasdaq® Market Operations at (203) 378-0284. Description
Notice to Members 97-91
SUGGESTED ROUTING Senior Management Corporate Finance Internal Audit Legal & Compliance Syndicate Executive Summary NASD Regulation, Inc., reminds members of their obligations under the Free-Riding and Withholding Interpretation (IM-2110-1) with respect to venture capitalists and the cancellation safe harbor provisions. This information was previously provided to
Regulatory Notice 17-12
Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+2 Settlement Cycle
Notice to Members 97-92
Comment Period Expires January 31, 1998 SUGGESTED ROUTING Senior Management Legal & Compliance Executive Summary NASD Regulation, Inc., is soliciting member comment on a proposal to discontinue after January 1, 1999, complimentary hard copy distribution of NASD Notices to Members and NASD Regulatory & Compliance Alert, which are currently available for
Notice to Members 97-93
SUGGESTED ROUTING   Internal Audit Legal & Compliance Municipal Operations Syndicate Systems Trading Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, January 19, 1998, in observance of Martin Luther King, Jr., Day. "Regular way" transactions
Notice to Members 97-94
SUGGESTED ROUTING   Internal Audit Legal & Compliance Municipal Operations Syndicate Systems Trading The National Association of Securities Dealers, Inc. (NASD®) will observe the following holiday schedule for 1998: January 1 New Year's Day January 19 Martin Luther King Jr.'s Birthday (Observed) February 16 Presidents' Day