FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Proposed Rule Change Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only
In response to numerous customer complaints and industry frustration about delays in the transfer of securities accounts from one brokerage firm to another, NASD established the Customer Account Transfer Task Force (Task Force) to consider ways to improve the process of inter-firm customer account transfers. This Report presents the results of the Task Force's deliberations.
International Testing Delivery; Important Information About Advertising Filing Fees
Application for exemptive relief from trade reporting obligation for certain teransactions on an Alternative Trading System
FINRA Reminds Firms of their Obligation to Report Accurately the Time of Execution for Transactions in TRACE-eligible Securities
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on the District Committees and the District Nominating
On October 25, 2001, the SEC adopted amendments to Rules 17a-3 and 17a-4. The purpose of this Notice is to address some frequently asked questions about the SEC requirements.
