Displaying 3981 - 3990 of 4701 Results
Did you mean: ebert Crypto Stock ?
Notice To Members 90-6
SUGGESTED ROUTING* Corporate FinanceGovernment SecuritiesInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining *These are suggested departments only. Others may be appropriate for your firm. The NASD published the following Notices to Members during 1989. Duplicate copies are available at $15 per monthly issue.
Notice To Members 89-78
SUGGESTED ROUTING* Legal & ComplianceOperationOptionsRegistrationTraining *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission recently approved two additions to the NASD's qualification and registration programs. The two new tests, which will be available for member use beginning January 2,
Remarks at the STA Annual Conference
Conferences like this provide an ideal setting for regulators and market participants to engage in a productive dialogue concerning the exciting issues in this fast-changing market.
Notice to Members 07-27
REQUEST FOR COMMENT SUGGESTED ROUTING KEY TOPICS Corporate FinancingExecutive RepresentativesLegal & ComplianceSenior ManagementOperations AffiliatesControl EntityInstitutional AccountsMember Private OfferingsPrivate PlacementsPrivate Placement MemorandumRegulation D Member Private Offerings Executive Summary NASD is issuing this Notice to Members to solicit comments from
Information Notice 4/15/10
Continuing Education Planning
Regulatory Notice 10-25
FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals
Regulatory Notice 18-39
Day of Closure Regulatory Notice Notice Type Guidance Referenced Rules & Notices Federal Reserve Board Regulation T FINRA Rule 4210 FINRA Rule 4230 FINRA Rule 4521 FINRA Rule 4524 SEA Rule 15c3-1 SEA Rule 15c3-3 SEA Rule 17a-5 Regulation SHO Suggested Routing Compliance Legal Margin Department Operations
Notice to Members 04-93
GUIDANCEShort Sale RequirementsSUGGESTED ROUTINGKEY TOPICSInternal AuditLegal & ComplianceOperationsRegistered RepresentativesSenior ManagementSystemsTradingTrainingOATSRule 3110Rule 3210Rule 3350Rule 3370Rule 11830Rules 6950–6957Short SalesExecutive SummaryOn June 23, 2004, the Securities and Exchange Commission (SEC) adopted certain provisions of a new short sale regulation, designated
Testimony Before the United States Senate Committee on Government Affairs
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
Regulatory Notice 15-30
SEC Approves Consolidated Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Equity Research Reports