Displaying 2911 - 2920 of 3479 Results
Did you mean: named short ?
Testimony Before the Committee on Banking, Housing and Urban Affairs United States Senate Hearing on Self-Regulatory Organizations
Mr. Chairman and Members of the Committee: NASD is grateful for the invitation to testify regarding self-regulation in the securities industry. NASD commends the Committee's efforts in reviewing the self-regulatory system.
Notice to Members 98-33
SUGGESTED ROUTING Senior Management Advertising Corporate Finance Legal & Compliance Operations Registration Trading Executive Summary On March 6, 1998, the Securities and Exchange Commission (SEC) approved new National Association of Securities Dealers, Inc. (NASD® or Association) Rules 6950 through 6957 (Rules), which establish an Order Audit Trail SystemSM (
Remarks by Chairman and CEO Rick Ketchum From the Securities Industry and Financial Markets Association (SIFMA) Annual Meeting
Thank you for that introduction, and thank you all for coming. As all of you know, we are at an important moment in the debate over financial regulation and the future profile of financial markets in the United States, and throughout the world. So I am pleased to have this opportunity to share some of my thoughts about where we've been and where we can hopefully go.
Testimony of President Markets, Services and Information Doug Shulman Before Committee on Banking, Housing, and Urban Affairs
Mr. Chairman and Members of the Committee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
5122. Private Placements of Securities Issued by Members
(a) Definitions (1) Member Private Offering A "member private offering" means a private placement of unregistered securities issued by a member or a control entity. (2) Control Entity A "control entity" means any entity that controls or is under common control with a member, or that is controlled by a member or its associated persons. (3) Control The term "control
eFOCUS Form Import Templates
Below are form layout templates for firms that use the import feature in eFOCUS to file their FOCUS filings. Please note that the template headers, columns, and line item IDs provided should not be modified or removed, as this will impact the compatibility of the import templates in the system. Additionally, fields adhere to certain input formatting, such as text fields, numeric fields, or
Election Notice - 12/11/09
Upcoming District Committee and District Nominating Committee Elections
Regulatory Notice 24-17
FINRA seeks comment on proposed amendments to FINRA Rules 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements), 5121 (Public Offerings of Securities With Conflicts of Interest) and 5123 (Private Placements of Securities) to make substantive, organizational and terminology changes to the rules.
Notice To Members 93-42
SUGGESTED ROUTING Senior ManagementLegal & Compliance Executive Summary On May 28, 1993, the Securities and Exchange Commission (SEC) approved amendments to Article II, Section 10 of the NASD® Code of Procedure (Code) to provide for a Minor Rule Violations Plan (Plan). The Plan will permit the NASD to dispose of certain minor rule violations expeditiously and to report the
Notice to Members 02-70
INFORMATIONAL Continuing Education SUGGESTED ROUTING KEY TOPICS Continuing Education Legal & Compliance Registration Senior Management Continuing Education Firm Element Executive Summary The Securities