Displaying 18011 - 18020 of 33922 Results
Notice to Members 99-44
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 November 3, 1998, the
The Neutral Corner - Volume 1—2017
We publish The Neutral Corner to provide arbitrators and mediators with current updates on important rules and procedures within securities dispute resolution. FINRA believes this newsletter provides its dedicated neutrals with a valuable learning tool that enables them to better serve parties and other participants in the FINRA forum. The Neutral Corner Volume 1 - 2017
Notice to Members 99-46
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
Notice to Members 97-95
SUGGESTED ROUTING   Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of November 21, 1997, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM). Symbol Name Coupon Maturity ELRT.GA Eldorado Resorts LLC 10.500 08/15/06 GTAR.GA Globalstar L.P./Cap Corp
Notice to Members 99-47
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 April 22, 1999, the following bonds were added to the Fixed
SR-FINRA-2017-008
Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") proposed changes to the Private Placement Filer Form ("Filer Form") that members complete when submitting private placement filings under FINRA Rules 5122 (Private Placements of Securities Issued by Members) or 5123 (Private
Notice to Members 97-96
SUGGESTED ROUTING   Senior Management Legal & Compliance Operations Syndicate Systems Technology Trading Executive Summary As the year 2000 approaches, organizations throughout the world are facing the formidable challenge of ensuring that their own computer systems, and other computer systems they depend upon, will continue to operate successfully
Monthly Disciplinary Actions March 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).
Notice to Members 99-48
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 Independence Day: Trade Date-Settlement Date Schedule The Nasdaq
Notice to Members 99-49
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 NASD Regulation, Inc. (