Displaying 4111 - 4120 of 33929 Results
Notice to Members 99-09
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 Representatives Registration Research Syndicate Systems Trading Training Variable Contracts Executive Summary NASD Regulation, Inc. (
Notice to Members 97-57
SUGGESTED ROUTING   Senior Management Institutional Internal Audit Legal & Compliance Operations Systems Trading Training Executive Summary In the following document, the National Association of
Regulatory Notice 17-26
FINRA Adopts New Electronic Form 211 for Purposes of Compliance with FINRA Rule 6432
Notice to Members 98-20
Executive Summary As requested by the Department of Treasury (Treasury), the National Association of Securities Dealers, Inc. (NASD®) provides members with information from the Office of Foreign Assets Control (OFAC) about persons and entities identified as "Specially Designated Nationals and Blocked1 Persons." Effective December 23, 1997, OFAC updated its master list, adding the names
Notice to Members 98-21
SUGGESTED ROUTING Senior Management Legal & Compliance Operations Systems Trading Executive Summary On January 14, 1998, the Securities and Exchange Commission (SEC) approved changes to National Association of Securities Dealers, Inc. (NASD®) Rule 11890 regarding the handling of clearly erroneous transactions. 1 The NASD and The Nasdaq Stock MarketSM (Nasdaq®)
CCFS
Notice to Members 98-22
SUGGESTED ROUTING Senior Management Legal & Compliance Operations Research Systems Trading Executive Summary In December 1997, NASD Regulation, Inc. (NASD RegulationSM) sent a compliance survey (Special Notice to Members 97-96) to find out the status of member firms' Year 2000 efforts. Member firms have the responsibility to determine the readiness of
Notice to Members 99-10
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 Representatives Registration Research Syndicate Systems Trading Training Variable Contracts Executive Summary Effective January 1,
Notice to Members 97-58
Comment Period Expires: October 31, 1997 SUGGESTED ROUTING   Senior Management Internal Audit Legal & Compliance Operations Registration Training Executive Summary NASD Regulation, Inc. (NASD RegulationSM)
Notice to Members 98-23
SUGGESTED ROUTING Senior Management Continuing Education Legal & Compliance Registration Training     Executive Summary     Members are advised that the National Association of Securities Dealers, Inc. (NASD®) has filed a proposed rule change to its Membership and Registration Rule 1120 (