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Remarks by Chairman and CEO Rick Ketchum at the Security Traders Association Annual Conference
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FINRA recognizes the importance of diverse suppliers as an integral part of our strategic sourcing and procurement processes. We believe that the success of our organization and society depends on enabling diverse-classified businesses (as further described below, “Diverse Suppliers”) to share in the nation’s economic growth. Our commitment is to maximize Diverse Suppliers’ participation in
The FINRA West Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the West Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry, and provides opportunities
About FINRA FINRA is a not-for-profit organization authorized by Congress that is dedicated to investor protection and market integrity. It regulates one critical part of the securities industry—member brokerage firms doing business in the U.S.FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Friday, December 25, 1987, Christmas Day, and Friday, January 1, 1988, New Year's Day. "Regular way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
Trade Date-Settlement
WASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) Board of Directors approved initiatives at its June meeting to expand personal finance programs and services for adults and children, and particularly those in underserved communities.
The Board approved a $2 million, three-year renewal of the Smart investing@your library® initiative, including the continuation of an 11-year
Comment Period Expires October 15, 1995
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Executive Summary
The NASD® is proposing to amend the Corporate Financing Rule, Article III, Section 44, of the NASD Rules of Fair Practice (Rule) to require that certain registered and unregistered exchange offers and related information must be filed with the
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS NOVEMBER 13, 1987.
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed amendment to Article III, Section 35(d)(2)(D) relating to testimonials used in members' communications with the public. The proposed amendment would conform the NASD rule to that of the New York Stock Exchange.
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Registration
Training
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed amendments to Article IV,
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called The IRA Rollover: 10 Tips to Making a Sound Decision to help the investing public decide if an IRA rollover is right for them.