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Testimony Before the Committee on Banking, Housing and Urban Affairs Hearing on Consolidation of NASD and the Regulatory Functions of the NYSE: Working Towards Improved Regulation
Good afternoon, Chairman Reed, Ranking Member Allard and distinguished Members of the Subcommittee. NASD is grateful for the invitation to testify regarding the regulatory consolidation of NASD and NYSE Member Regulation.
Testimony Before the Committee on Banking, Housing and Urban Affairs United States Senate Hearing on Self-Regulatory Organizations
Mr. Chairman and Members of the Committee: NASD is grateful for the invitation to testify regarding self-regulation in the securities industry. NASD commends the Committee's efforts in reviewing the self-regulatory system.
Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises Committee on Financial Services
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to testify regarding self-regulation in the securities industry.
Testimony of Vice Chairman, NASD President, Regulatory Policy and Oversight Mary L. Schapiro Before the Senate Committee on Banking, Housing and Urban Affairs Hearing on Military Sales
Mr. Chairman and Members of the Subcommittee: NASD is grateful to the committee for inviting us to testify on NASD's regulatory activities regarding inappropriate sales of certain investment products to members of the armed forces, and for allowing us to submit this statement for the record.
Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises Committee on Financial Services
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to testify regarding securities arbitration.
Testimony Before the Committee on Banking, Housing and Urban Affairs
In December of 2002, the Securities and Exchange Commission (SEC), New York Attorney General, the North American Securities Administrators Association (NASAA), the New York Stock Exchange (NYSE), and NASD reached an agreement in principle with ten of the nation's largest investment banks to resolve issues of conflicts of interest involving research analysis and initial public offerings (IPOs).
Testimony Before the Committee on Banking, Housing, and Urban Affairs Hearing to Review Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry
Mr. Chairman and Members of the Committee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
FINRA Gateway Release Notes (2020-2022)
Date Feature Description December 15, 2022 Requests and Filings Filters: Re-design in the layout Moved all the Frequently used filters to the top such as Date filter, Overdue and Status filter Mapped the Type filters under their associated “parent” Category filters Enabled the multi-select capability under each
FINRA Rule 4111 (Restricted Firm Obligations)
FINRA Rule 4111 establishes an annual process by which FINRA designates as “Restricted Firms” member firms that present a high degree of risk to the investing public, based on numeric thresholds of firm-level and individual-level disclosure events. 
Healthy Markets Association Comment On Regulatory Notice 23-10