Displaying 4841 - 4850 of 34834 Results
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Senior Management
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Executive Summary
In the following document, the National Association of Securities Dealers, Inc. (NASD
FINRA Adopts New Electronic Form 211 for Purposes of Compliance with FINRA Rule 6432
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
WASHINGTON – The FINRA Investor Education Foundation has awarded fellowships to 50 military spouses seeking to earn their AFC (Accredited Financial Counselor) designation to provide military service members and their families one-on-one and group financial counseling and education.
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®) believe that the
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 their internal
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
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Insurance
Internal Audit
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Operations
Options
Registered Representatives
Registration
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Systems
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Variable Contracts
Executive Summary
Effective January 1, 1999, the
Firms Will File Just Once to Report to Both Agencies
WASHINGTON – The Securities Investor Protection Corporation (SIPC) and the Financial Industry Regulatory Authority (FINRA) have announced a services agreement designed to ease reporting burdens and compliance costs for member firms. The new, simplified filing process will also reduce inconsistent or incomplete filing of annual audited
Comment Period Expires: October 31, 1997
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Training
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on proposed NASD