SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of September 29, 1994, the following 49 issues joined the Nasdaq National Market, bringing the total number of issues to 3,725:
Symbol
Company
Entry Date
SOES Execution Level
BDTC
Bio-Dental Technologies
8/30/94
200
FCNB
Corporation FCNB Corp.
8/30/94
200
CCIL
Cellular Communications International, Inc.
8/31/
OATS is in the process of upgrading the IFT/FTP servers. Below is important information for IFT and FTP users regarding the changes:
FINRA Highlights Examination Approaches, Common Findings and Effective Practices for Complying With its Suitability Rule
FINRA announced today that it has fined Morgan Stanley Smith Barney LLC $1.6 million for the firm’s repeated failures to timely close out failed inter-dealer municipal securities transactions and to take prompt steps to obtain physical possession or control of municipal security positions that are short more than 30 calendar days, and related supervisory failures.
Change for Scheduling Exam and CE Sessions
At the end of this tutorial, you should be able to set up a generic JS project using Angular and Grunt as a task runner. The project should be able to unit test, generate test coverage report, and minify the source codes with minimal configuration. This guide can help developers who are unfamiliar with JS frameworks and tools to start learning.
Washington, DC - The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and the American Library Association (ALA) have announced nearly $882,000 in grants to 12 recipients as a part of the Smart investing@your library® initiative.
INFORMATIONAL
Online Suitability
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Legal & Compliance
Executive Representatives
Suitability
Online Communications
Executive Summary
In light of the dramatic increase in the use of the Internet for communication between broker/dealers and their customers, NASD Regulation, Inc. (NASD Regulation) is issuing a Policy Statement to
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 Income
How about we offer this test to students in Highschool as a term test. Public really should have the same access as you.
