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Regulatory Notice 12-27
FINRA Requests Comment on Proposed Amendments to FINRA Rule 5110 Regarding Deferred Compensation Arrangements in Public Offerings
Notice to Members 02-44
REQUEST FOR COMMENT Research Analysts and Research Reports Comment Period Expires: August 30, 2002 SUGGESTED ROUTING KEY TOPICS Executive Representative Legal & Compliance Operations Senior Management Investment Banking Research Reports Small Firms Executive Summary On May 10, 2002, the Securities and Exchange Commission (SEC) approved new NASD Rule 2711,
Information Notice - 10/15/10
Continuing Education Planning
Trade Reporting Notice - 9/17/10
Price Validation and Price-Override Protocol
Notice to Members 02-05
INFORMATIONAL FOCUS Reporting SUGGESTED ROUTING KEY TOPICS Executive Representatives Internal Audit Legal & Compliance Operations Senior Management Financial Accounting Standards Board FOCUS Reports Executive Summary The National Association of Securities Dealers, Inc. (NASD®) has modified the FOCUS Report to include disclosure, pursuant to Financial
Regulatory Notice 11-32
FINRA Provides Additional Guidance Regarding Reporting Requirements Under Rule 4530
9217. Violations Appropriate for Disposition Under Plan Pursuant to SEA Rule 19d-1(c)(2)
Any member of FINRA that is also a member of the New York Stock Exchange LLC ("NYSE") ("Dual Member") (including any persons affiliated with such member) may be subject to a fine under Rule 9216(b) with respect to any rule or By-Law provision listed in this Rule that applies to such member or person. However, any Dual Member that was not also a member of NASD as of July 30,
ARTICLE I DEFINITIONS
When used in these By-Laws, unless the context otherwise requires, the term: (a) "Act" means the Securities Exchange Act of 1934, as amended; (b) "Board" means the Board of Directors of FINRA Regulation; (c) "broker" shall have the same meaning as in Section 3(a)(4) of the Act; (d) "Commission" means the Securities and Exchange Commission; (e) "
9217. Violations Appropriate for Disposition Under Plan Pursuant to SEA Rule 19d-1(c)(2)
Any member of FINRA that is also a member of the New York Stock Exchange LLC ("NYSE") ("Dual Member") (including any persons affiliated with such member) may be subject to a fine under Rule 9216(b) with respect to any rule or By-Law provision listed in this Rule that applies to such member or person. However, any Dual Member that was not also a member of NASD as of July 30,
Notice to Members 99-12
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered