District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Operations Registration Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the election results for the District Committees and the District Nominating Committees. The newly elected District Committee members will serve until 2006.
District 10 (New York)
SEC Approves Consolidated FINRA Rule on the Sale of Securities in a Fixed Price Offering
Summary
FINRA requests comment on a proposed change to its current policy relating to the assignment of OTC symbols to unlisted equity securities. Specifically, FINRA is considering whether it should begin assigning OTC symbols to unlisted equity securities that do not have a valid CUSIP identifier, in the limited circumstance where a member firm demonstrates its best efforts to obtain a CUSIP
Throughout your securities industry career, FINRA, other regulatory organizations and your employer collect and maintain a variety of information. Learn about all phases of your career in the securities industry, from considering becoming registered to taking exams to obligations when you leave the industry.
INFORMATIONAL
Business Conduct and Responsibility Rules
Effective Date: October 15, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations, Trading and Training
Registered Representatives
Senior Management
Security Futures
Executive Summary
On October 15, 2002, the Securities and
Dispute Resolution Services invites you to take advantage of significantly reduced mediation prices during FINRA Mediation Settlement Month. To participate in this program, Parties must have entered into a mediation agreement by October 31, 2024, and conducted the mediation by December 31, 2024.The SavingsFINRA participating mediators will offer the following rates for mediation sessions
FINRA Issues Guidance on Master and Sub-Account Arrangements
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on the District Committees and the District Nominating
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veterans' Day, Friday, November 11, 1994, and Thanksgiving Day, Thursday, November 24, 1994. On Friday, November 11, The Nasdaq Stock Market™ and the securities exchanges will be open for trading. However, it
