Displaying 2131 - 2140 of 33929 Results
Notice to Members 99-67
Comment Period Expires September 13, 1999 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 Variable Contracts Executive Summary
Notice to Members 99-68
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
Regulatory Notice 16-42
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2017
ATS NBBO Source Change Notification Form
FINRA Rule 4554 states that if for any reason an ATS uses a NBBO source other than the one that was reported on its ATS OATS data submission, the ATS must notify FINRA via e-mail that an alternative source was used to obtain the NBBO
Notice to Members 99-69
Comment Period Expires September 30, 1999 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
Regulatory Notice 16-41
SEC Approves Amendments to Rules Governing Communications With the Public
Notice to Members 99-70
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
Features of the Financial Professional Gateway
View Registration Details Review your registration and licensing information that is available in the Web CRD/IARD systems: Employment History Registrations held with current and previous employers Professional Designations for Investment Adviser representatives Other Business Activities Exam information, including a complete history of  license examinations Continuing Education
Notice to Members 99-71
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 Labor Day: Trade Date-Settlement Date Schedule The Nasdaq Stock
SR-FINRA-2016-040
Proposed Rule Change to Amend FINRA Rule 7730 to Establish a Fee for the Academic Corporate Bond TRACE Data Product