Displaying 31721 - 31730 of 34830 Results
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsRegistrationTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Effective February 6, 1989, members may obtain disciplinary information on prospective employees either through the Firm Access Query System (FAQS) or by submitting a written request to the NASD. Before
SUGGESTED ROUTING*
Government SecuritiesLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has adopted amendments to Rule 17M, also known as the Lost and Stolen Securities Program. Among other things, the amendments: 1) expand the definition of reporting
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved an amendment to Paragraph (b), Part VI, Section 7, Schedule
The FINRA ORF technical platform migration will begin on Monday, November 17, 2014. The major functional and administrative areas for the migration are listed below.
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
NASD members are advised that on January 13, 1989, the Securities and Exchange Commission (SEC) approved an amendment to Appendix F
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
As previously reported in Notice To Members 88-104, the NASD, beginning February 12, 1989, will require its members to respond to requests for trading data using an automated format. The format is consistent with
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
Securities markets and the NASDAQ System will be closed on Monday, February 20, 1989, in observance of Presidents' Day. "Regular way" transactions made on the preceding business days will be subject
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of January 12, 1989, the following 26 issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,881:
FINRA Requests Comment on a Proposal to Tighten Business Clock Synchronization Requirements
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on extensive amendments to Article III, Sections 1 through 28 of the