Displaying 4181 - 4190 of 4654 Results
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceRegistrationTraining
In 1993, the American Stock Exchange (Amex), the Chicago Board Options Exchange (CBOE), the Municipal Securities Rulemaking Board (MSRB), the National Association of Securities Dealers, Inc. (NASD), the New York Stock Exchange (NYSE), and the Philadelphia Stock Exchange (PHLX), endorsed the Report and
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of January 26, 1995, the following 19 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,747:
Symbol
Company
Entry Date
SOES Execution Level
CAFI
Camco Financial Corp.
12/30/94
200
TLMDA
Telemundo Group, Inc. (Cl A)
1
Exemptive relief is denied based on the following considerations: (1) this marks the second time in three years that Name made a political contribution without following the Firm’s established pre-clearance processes resulting in a prohibition of municipal securities business under the Rule;5 and (2) Name has an extremely high profile within the Firm and the state’s political and business community. -
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of March 15, 1990, the following 20 issues joined NASDAQ/NMS, bringing the total number of issues to 2,667:
Symbol
Company
Entry date
SOES Execution Level
FOILP
SUGGESTED ROUTING*
Corporate Finance
Government
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Trading
Training
*These are suggested departments only
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: FEBRUARY 14, 1988.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed NASD Rule of Fair Practice that would require all persons associated with a member firm to provide prior written notice to the firm of certain outside business activities.
The NASD Board of Governors believes the proposed rule is necessary to
Comment Period Expires May 31, 1999
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
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Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Cover Letter From FINRA President and CEO, Robert Cook
January 4, 2017
Today, FINRA is publishing its
2017 Regulatory and Examination Priorities Letter
(the Priorities Letter). This letter provides
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
SUGGESTED ROUTINGSenior ManagementAdvertisingContinuing EducationCorporate FinanceExecutive RepresentativesGovernment SecuritiesInstitutionalInsuranceInternal AuditLegal & ComplianceMunicipal Mutual FundOperationsOptionsRegistered RepresentativesRegistrationResearchSyndicateSystemsTradingTrainingVariable Contracts BackgroundThe National Association of Securities Dealers, Inc. (NASD®) is