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Series 22 – Direct Participation Programs Representative Exam
The Series 22 exam — the Direct Participation Programs Limited Representative Exam (DR) — assesses the competency of an entry-level registered representative to perform their job as a direct participation programs representative.
Election Notice - 5/11/12
Nominees for Upcoming FINRA Board of Governors Election
Regulatory Notice 16-25
Forum Selection Provisions Involving Customers, Associated Persons and Member Firms
Notice to Members 97-63
SUGGESTED ROUTING   Internal Audit Legal & Compliance Municipal Operations Syndicate Systems Trading Columbus Day: Trade Date — Settlement Date Schedule The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 13, 1997. On this day, The Nasdaq Stock MarketSM and the
Notice to Members 02-60
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 The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 14, 2002. On this
Notice to Members 03-37
INFORMATIONAL Registration Rules Effective Date: July 7, 2003 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Principals Registration Registered Representatives Senior Management Training Qualification Examinations General Securities Principal Sales Supervisor Module (Series 23) General Securities
Notice to Members 02-64
REQUEST FOR COMMENT Prohibition of Certain Bank Tying Arrangements Comment Period Expires: October 21, 2002 SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Senior Management Investment Banking Just and Equitable Principles of Trade NASD Rule 2110 Discussion NASD is concerned that the practice of tying commercial credit to investment banking
Firm Guidance – Private Placement Filings
This reference guide covers a range of private placement topics, from the basic question of "What is a private offering?" to more technical discussions on broker-dealer compliance with FINRA's private placement rules.
Notice to Members 00-69
INFORMATIONAL Trade Date — Settlement Date SUGGESTED ROUTING KEY TOPIC Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date — Settlement Date Schedule Columbus Day: Trade Date — Settlement Date Schedule The schedule of trade dates-settlement dates below reflects the observance by the
Regulatory Notice 07-56
Continuing Education Regulatory Notice Notice Type Guidance Key Topic(s) Continuing EducationFirm Element Suggested Routing Compliance Continuing Education Legal Registration Senior Management   PLEASE NOTE: On July 30, 2007, the Financial Industry Regulatory Authority, FINRA, began operations. FINRA was formed through the consolidation of NASD and the enforcement, member