finra search | FINRA.org

Displaying 2721 - 2730 of 4701 Results

(a) Definitions The following terms shall, unless the context otherwise requires, have the stated meanings: (1) Aggregate Exercise Price — The term "aggregate exercise price" means the exercise price of an option contract multiplied by the number of units of the underlying security covered by such option contract. (2) Call — The term "call" means an option contract under

Notice to Members 02-06

INFORMATIONAL Trade Date — Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date—Settlement Date Schedule Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule The Nasdaq Stock Market® and the securities exchanges will be

Notice To Members 86-73

TO: All NASD Members and Other Interested Persons EXECUTIVE SUMMARY Effective with the SEC's approval on September 25, 1986, an amendment to the NASD Board of Governors' Free-Riding Interpretation provides limited exemption for certain persons purchasing "hot issue" securities in connection with the conversion to stock ownership of mutual savings and loan associations,

Notice to Members 01-10

INFORMATIONAL Trade Date — Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date — Settlement Date Schedule Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule The Nasdaq Stock Market® and the securities exchanges will be

Notice To Members 92-26

SUGGESTED ROUTING:* Senior ManagementInstitutionalLegal & ComplianceOperationsResearchSyndicateSystemsTradingTraining*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY On March 10, the Securities and Exchange Commission (SEC) approved amendments to Schedule D regarding trade reporting for regular Nasdaq® equity securities. The trade

OATS Report - October 5, 2000

October 5, 2000NASD member firms receiving orders in Nasdaq securities during after-hours sessions are required to submit those orders to the Order Audit Trail System (OATS) per NASD Rules 6950-6957, as they would report any other order in Nasdaq securities. The only difference is that after-hours orders are considered as received on the following OATS Business Day and, therefore, are not

Notice to Members 00-04

INFORMATIONAL Trade Date — Settlement Date SUGGESTED ROUTING KEY TOPIC Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date — Settlement Date Schedule Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule The Nasdaq Stock Market® and the securities exchanges will be closed

Regulatory Notice 17-13

FINRA’s NAC Revises the Sanction Guidelines

Notice to Members 03-81

INFORMATIONAL Continuing Education Effective Date: January 1, 2004 SUGGESTED ROUTING KEY TOPICS Continuing Education Legal & Compliance Registration Senior Management Regulatory Element Executive Summary Effective January 1, 2004, the fee for the Regulatory Element of Continuing Education will be reduced from $65

Rule 1T. "The Exchange"

The term "the Exchange," when used with reference to the administration of any rule, means the New York Stock Exchange LLC or the officer, employee, person, entity or committee to whom appropriate authority to administer such rule has been delegated by the Exchange. Unless otherwise indicated in the rule, the terms Board, Board of Directors, Chairman, Chairman of the Board, Chief