Displaying 2201 - 2210 of 34936 Results
SR-FINRA-2016-013
Proposed Rule Change to Delay Implementation of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
FINRA Securities Helpline for Seniors Marks First Year, With $1.3 Million Returned to Investors
To date, the helpline has fielded more than 4,200 calls, recovering over $1.3 million in voluntary reimbursements from firms since its launch in April 2015.
Notice to Members 01-41
ACTION REQUIRED PORTAL-Designated Equity Securities Directory SUGGESTED ROUTING KEY TOPICS Executive Representatives Operations Trading & Market Making ACT PORTAL Executive Summary Nasdaq® is publishing a list of PORTAL®-designated equity securities for the reporting requirements of PORTAL equity transactions that will be effective on June 16, 2001. On March 6, 2001, the
CPRS
FINRA Reminds Firms about Obligations Regarding Pension Income Stream Products
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued a regulatory notice providing guidance on member firms' responsibilities concerning the sale of pension income stream products, which typically are contracts that provide a lump-sum payment to a pensioner in exchange for the rights to future pension income payments. "Pension income stream products are complex
Regulatory Notice 16-12
FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
Notice to Members 01-42
INFORMATIONAL NASD Board Of Governors Nominees SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management NASD Board Of Governors National Association of Securities Dealers, Inc. Notice Of Nominees The Annual Meeting of members of the National Association of Securities Dealers, Inc. (NASD®) will be held on September 13, 2001. The formal notice of the meeting, including
Regulatory Notice 16-35
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
How to File Communications with Advertising Regulation
Firms can file communications for review via Advertising Regulation Electronic Files (AREF), an online application. In addition, firms can use AREF to view, print and save the department’s review letters. <a class="btn" href="/">test</a>
Notice to Members 99-90
INFORMATIONAL Arbitration SUGGESTED ROUTING KEY TOPICS Legal &amp; Compliance Registered Representatives Senior Management Training Arbitration Discovery Guide The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the