Displaying 4931 - 4940 of 34834 Results
Note: The effective date for amendments to Rule 3340 (prohibiting the publication of quotations and indications of interest during a trading halt) has been delayed until October 9, 2001 to allow members more time to modify their systems.
INFORMATIONAL
Publication Of Quotations; Indications Of Interest
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert with answers to 10 commonly asked questions about required minimum distributions (RMDs) – the smallest amount you can withdraw each year from a traditional retirement savings plan once you've reached the mandatory age for making withdrawals, usually 70 1/2.
"RMD rules are complex, and if
SEC Approves Expanded Application of Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
INFORMATIONAL
Trade Date — Settlement Date
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date — Settlement Date Schedule
Labor Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Monday, September 3, 2001, in
As prepared for delivery.
Good morning.
Money laundering is not a new issue for the securities industry. In fact, it has been listed in every FINRA annual regulatory priorities letter issued over the past 11 years. Many of the issues we've focused on over the years remain areas of focus in 2016. For example, we've addressed risk on many occasions. In 2009, we reminded firms to ensure
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
Foreign Deferrals of the Regulatory Element
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) is amending its policy of granting foreign deferrals of the Continuing Education Regulatory Element requirement for registered
Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market
INFORMATIONAL
Registration Of Chief Compliance Officers
Effective Date: January 1, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Chief Compliance Officers
Continuing Education/Testing/Qualifications
Registration
Executive Summary
On June 19, 2001, the Securities and Exchange Commission (SEC) approved amendments to
FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and Securities and Exchange Commission (SEC) decisions in FINRA cases).
ACTION REQUESTED
Alternative Display Facility
SEC Comment Period Expires: January 21, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Alternative Display Facility
Executive Summary
On December 14, 2001, the Securities and Exchange Commission (SEC or Commission) published for comment a proposed rule change filed by