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Notice to Members 00-52
INFORMATIONAL Decimalization SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Options Registered Representatives Senior Management Technology Trading & Market Making Decimalization Executive Summary The National Association of Securities Dealers, Inc. (NASD®) and the exchanges recently submitted a decimalization plan to the Securities and Exchange Commission
Regulatory Notice 15-38
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Regulatory Notice 15-11
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Regulatory Notice 14-41
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Regulatory Notice 14-16
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Regulatory Notice 13-33
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Regulatory Notice 13-14
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
The Neutral Corner, Volume 6—2008
The Neutral Corner, Volume 6—2008
Regulatory Notice 12-43
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Regulatory Notice 12-20
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update