Displaying 231 - 240 of 1654 Results
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: ALL NASD Members
LAST VOTING DATE IS SEPTEMBER 13, 1985
Enclosed is a proposed addition to Article III of the NASD's Rules of Fair Practice. The proposed new rule has been approved by the Board of Governors and now requires the membership's approval,
The rule would establish new requirements for the private securities
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD is publishing for comment an amendment to Schedule E to the NASD By-Laws that would exempt a qualified independent underwriter from the pricing requirements of Section 3(c)(
Background
In March 2017, FINRA issued a Special Notice on its engagement programs as part of FINRA360, its comprehensive review of its operations. In response to the Special Notice, FINRA received a number of comments and suggestions regarding the usefulness of some advisory committees, their membership and their effectiveness as a vehicle for dialogue between FINRA and member firms. After
Continuing Education Planning
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Mutual Fund
Research
Syndicate
Systems
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE
Monday, May 135:00 p.m. – 7:00 p.m.Registration & Information5:00 p.m. – 7:00 p.m.New Attendee Reception Tuesday, May 147:30 a.m. – 6:00 p.m.Registration & Information8:30 a.m. – 10:00 a.m.Continental Breakfast & Seating10:00 a.m. – 10:45 a.m.Plenary Session – Welcome Remarks and Fireside ChatSession Description: Join this session to hear perspectives from FINRA leadership
FIRST is a prototype taxonomy-based rulebook search tool designed by FINRA to make the FINRA rulebook more accessible when searching for relevant information or developing automated compliance functions. FIRST is enabled by a regulatory taxonomy, or a hierarchical classification of key business and regulatory terms, applied, or “tagged,” to a series of key FINRA rules.
Note: Only sessions with an asterisk (*) are being live-streamed and recorded for future viewing. Virtual participants will only have access to these marked sessions. Agenda is subject to change.Wednesday, September 255:00 p.m. – 7:00 p.m.Registration & InformationKick Off Reception With ExhibitorsOffice Hours Thursday, September 267:30 a.m. – 5:30 p.m.Registration &
Continuing Education Planning
Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.