Displaying 6731 - 6740 of 8258 Results
Notice To Members 87-63
TO: All NASD Members and Municipal Securities Bank Dealers FROM: All Operations Personnel The schedule of trade dates/settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 12, 1987. On this day, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a settlement date since many of the nation's banking
Monthly Disciplinary Actions July 2011
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 the Municipal Securities Rulemaking Board (MSRB).
Notice to Members 04-07
REQUEST FOR COMMENT Regulation of Compensation, Fees, and Expenses in Public Offerings of Real Estate Investment Trusts; Direct Participation Programs, Including Commodity Pools; and Closed-End Funds Comment Period Expires March 12, 2004 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Senior Management Closed-End
Notice To Members 85-1
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel The schedule of trade dates/settlement dates below reflect the observance by the financial community of Martin Luther King, Jr.'s Day, Monday, January 21, 1985. On Monday, January 21, 1985, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a settlement date
Notice to Members 02-78
INFORMATIONAL Anti-Money Laundering CompliancePrograms Effective date: December 31, 2002 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registration Senior Management Compliance Programs Money Laundering Executive Summary NASD has adopted amendments to NASD Rule 3011 (Anti-Money Laundering Compliance Program) to require each member to provide to
Interpretive Letter to Howard L. Kramer, Schiff Hardin & Waite
<p>Priced quotations by an ECN or ATS displayed on the OTC Bulletin Board are considered priced quotations for purposes of compliance with Rule 2320(g)(1).</p>
Notice To Members 83-57
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel "Regular-Way" transactions made on Tuesday, November 8, Election Day; and Friday, November 11, Veterans Day, and the days immediately preceding these days will be subject to the settlement date schedule listed below. The purpose of this schedule is to provide uniformity. While the NASDAQ System
Interpretive Letter to Franklin I. Ogele, Esq., Singer Zamansky LLP
<p>A broker/dealer is not required to register as branch offices under Rule 3010(g) non-public office locations where existing customers can use computer terminals to access their accounts and enter orders.<br/></p>
Monthly Disciplinary Actions February 2013
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 the Municipal Securities Rulemaking Board (MSRB).
Notice to Members 99-62
Nominees For District Committees And District Nominating Committees Suggested Routing Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal &amp; Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research