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Notice to Members 99-69
Comment Period Expires September 30, 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 Systems Trading Training Variable Contracts
Regulatory Notice 16-35
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
How to File Communications with Advertising Regulation
Firms can file communications for review via Advertising Regulation Electronic Files (AREF), an online application. In addition, firms can use AREF to view, print and save the department’s review letters. <a class="btn" href="/">test</a>
Notice to Members 99-90
INFORMATIONAL Arbitration SUGGESTED ROUTING KEY TOPICS Legal &amp; Compliance Registered Representatives Senior Management Training Arbitration Discovery Guide The Suggested Routing function is meant to aid the reader of this document. Each NASD
Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
Robert L.D. Colby's Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
ATS Order Type Entry Screen
On September 12, 2016, FINRA added a new ATS Order Type Entry Screen to the OATS Administration Section of the OATS Web Interface.
Notice to Members 99-91
INFORMATIONAL Imposition Of Censures SUGGESTED ROUTING KEY TOPICS Legal &amp; Compliance Senior Management Disciplinary Actions NASD Sanction Guidelines The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure. Executive Summary In July 1999
Notice to Members 99-92
INFORMATIONAL Risk Management Practices SUGGESTED ROUTING KEY TOPICS Legal &amp; Compliance Senior Management Risk Management Practices The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure. Executive Summary The Securities and Exchange
Notice to Members 99-93
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal &amp; Compliance Municipal/Government Securities Operations Senior Management Trading &amp; Market Making FIPS The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
Monthly Disciplinary Actions September 2016