Displaying 4881 - 4890 of 34834 Results
SEC Approves Rule Requiring Delivery of an Educational Communication to Customers of a Transferring Representative
INFORMATIONAL
SEC Rule 504 And Intra-State-Only Offerings
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Trading & Market Making
Free-Riding and WithholdingIM-2110-1
NASD Rule 2710
NASD Rule 2720
NASD Rule 2810
Underwriting Compensation
Executive Summary
On December 1, 1999, the
WASHINGTON — Starting on Monday, May 16, investors will be able to buy securities in early-stage companies through crowdfunding. Investors interested in taking this step should first take time to consider the risks that may be involved in investing in these small businesses, according to a new alert from FINRA, the Financial Industry Regulatory Authority.
“Crowdfunding generates a lot of buzz,
Elimination of Continuing Education Delivery at Testing Centers
INFORMATIONAL
Membership And Registration Rules
Series 24, 26, And 62 Modified
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Training
Corporate Securities Limited Representative (Series 62)
General Securities Principal (Series 24)
Investment Company Products/Variable Contracts Limited Principal (Series 26)
INFORMATIONAL
NASD Board Of Governors Nominees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
NASD Board Of Governors
National Association of Securities Dealers, Inc. Notice Of Nominees
The Annual Meeting of members of the National Association of Securities Dealers, Inc. (NASD®) will be held on May 15, 2000.
Are you considering exchanging a variable annuity that you currently own with a new one? Replacing one variable annuity with another should involve an analysis and comparison of the complex features of each security. You should exchange your annuity only when it is the smartest move for you.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has censured Stephens Inc., of Little Rock, Arkansas, and fined the firm $900,000 for inadequately supervising firm-wide internal "flash" emails sent by its research analysts to convey information about companies and industries the firm covered. These failures created the risk that the flash emails
ACTION REQUIRED
Member Contact Information Update
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Senior Management
Members/Contact Information
Executive Summary
National Association of Securities Dealers, Inc. (NASD®) member firms must update their Member Firm Contact Questionnaire (NMFCQ or Contact Questionnaire
As prepared for delivery
Electronic Trading in the Bond Markets
Good morning. Thank you [Mark Monahan] for that introduction. I’m pleased to have this opportunity to join today’s conversation on the increasing automation of fixed income markets.
Many of us have been in the securities business long enough to appreciate how the first electronic trading system—the NASDAQ quotation system that was