Displaying 3041 - 3050 of 4654 Results
INFORMATIONAL
Selling Away And Outside Business Activities
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Insurance
Legal & Compliance
Operations
Registered Representatives
Senior Management
Outside Business Activities
Private Securities Transactions
Promissory Notes
NASD Rule 3030
NASD Rule 3040
Supervision
Executive Summary
NASD Regulation, Inc. (NASD Regulation)
ACTION REQUESTED
Required Disclosures For Securities Recommendations
Comment Period Expires August 15, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Analyst Disclosures
Communication With The Public
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment from National Association of Securities
In my opinion... All investors from hedge funds, to retail investors to those considering investing in a stock should be able to see the exact same data that hedge funds, and clearing houses and brokers see. It should all be in real time and it should be free. This needs to include Dark Pool data. Short interest should be reported in real time, and the number of shorted shares should never exceed
<p>Letter addresses circumstances under which persons must report events involving a fixed annuity insurance product.</p>
1. What are some tips for printing PDF Reports?
To print reports in Portrait format...
ACTION REQUESTED
Rule Modernization Project
Comment Period Expires: July 2, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Rule Review
Rule Modernization
Executive Summary
Over the past several years, NASD Regulation, Inc. (NASD Regulation) has conducted a comprehensive review of many of the National Association of Securities
TO: All NASD Members and Other Interested Persons
SUMMARY
Recently, in response to a request by the Association, the staff of the SEC's Division of Market Regulation issued a no-action letter concerning 17 C.F.R. 240.15c3-l (the "net capital rule") and 17 C.F.R. 240.15c3-3 (the "customer protection rule"). The letter provides, until December 31, 1983, a temporary
FINRA today announced the appointment of Sarah Gill as Ombudsman and Cindy Foster as Vice President of the Membership Application Program (MAP) and Statutory Disqualification.
As the new Ombudsman effective Oct. 4, Gill will handle issues, inquiries and complaints that arise from FINRA’s interactions with public investors, member firms, member firm employees, FINRA staff and other stakeholders
The FINRA New Issue Form will be unavailable from 6:30 p.m. ET, Friday, September 25, 2020, until midnight ET Monday, September 28, 2020, while updates are made for the platform infrastructure conversion.
As FINRA has announced, the current FINRA New Issue Form is being retired and replaced with an updated submission platform. Beginning Monday, September 28, 2020, users will access the updated
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education/Testing/Qualifications
Legal & Compliance
Registration
Senior Management
Continuing Education Regulatory Element Notification
Written Supervisory Procedures
Executive Summary
National Association of Securities Dealers, Inc. (NASD®) firms are reminded that the Web Central Registration