Displaying 31491 - 31500 of 34831 Results
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
Members are invited to vote on a proposed new Section 44 to Article III of the NASD Rules of Fair
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD invites comments on a proposed rule that would restrict the payment of "
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Systems
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD is requesting comment on a proposed new
SUGGESTED ROUTING*
Senior Management Corporate FinanceLegal & ComplianceOperationsTradingTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Congress passed the Insider Trading and Securities Fraud Enforcement Act of 1988, which became effective on November 19, 1988, and augments enforcement of the securities laws, particularly in
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
State participation in CRD Phase II, the Form BD (Uniform Application for Broker-Dealer Registration) and Form BDW (Uniform Request for Broker-Dealer Withdrawal) processing phase of the CRD system will begin
Proposed Rule Change to Revise the Series 4 Examination Program
On June 30th of this year, a leap second will be added after 23:59:59 GMT.
Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories
Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements