Guidance on Liquidity Risk Management Practices
INFORMATIONAL
District Committees and District Nominating Committees
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Legal & Compliance
Operations
Senior Management
Article VIII NASD Regulation By-Laws
District Committees
District Nominating Committees
Executive Summary
On March 21, 2003, NASD filed with the Securities and
SEC Approves FINRA’s Capital Acquisition Broker (CAB) Rules
GUIDANCE
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Legal and Compliance
Operations
Senior Management
Blue Sheets
Executive Summary
This Notice to Members reminds members of their reporting requirements concerning the automated submission of trading information via the Electronic Blue Sheet (EBS) System and provides information on the validation of certain
FINRA Requests Comment on a Revised Proposal Requiring Confirmation Disclosure of Pricing Information in Corporate and Agency Debt Securities Transactions
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Senior Management
Executive Representatives
Institutional
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Research
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Executive Summary
The Securities and Exchange Commission (SEC) is soliciting comment on temporary rule amendments to SEC Rule 17a-5
ACTION REQUIRED
Expense-Sharing Agreements
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Accounting
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Expense-Sharing Agreements
Net Capital
Recordkeeping
SEC Rule 15c3-1
SEC Rules 17a-3, 17a-4, and 17a-5
Executive Summary
On
Comment Period Expires: January 30, 1997
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Advertising
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Mutual Fund
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Executive Summary
NASD Regulation, Inc. (NASD Regulation) requests comment on proposed amendments to NASD® Conduct Rules 3010 (Supervision) and 3110 (Books and Records) (formerly Article III, Sections 27 and 21 of the NASD
Comment Period Expires September 30, 1994
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Senior ManagementGovernment SecuritiesInstitutionalLegal & ComplianceTrading
Executive Summary
With the enactment of the Government Securities Act Amendments of 1993, the NASD's regulatory jurisdiction was intended to encompass, among other things, sales practices relating to government securities. In conjunction
As prepared for delivery.
Good morning.
Money laundering is not a new issue for the securities industry. In fact, it has been listed in every FINRA annual regulatory priorities letter issued over the past 11 years. Many of the issues we've focused on over the years remain areas of focus in 2016. For example, we've addressed risk on many occasions. In 2009, we reminded firms to ensure
