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Regulatory & Compliance Alert - Fall 2000
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Notice to Members 03-78
INFORMATIONAL Trade Date—Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal and Compliance Municipal/Government Securities Operations Trading and Market Making Holiday Trade Date-Settlement Date Schedule Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule The Nasdaq Stock Market® and the
Rulemaking Items for Discussion at the July 2012 Meeting
The FINRA Board of Governors will consider the following rulemaking items at its July 2012 meeting.
Regulatory Notice 09-01
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009
Notice to Members 02-84
Trade Date—Settlement Date SUGGESTED ROUTING KEY TOPICS   Internal Audit Legal and Compliance Municipal/Government Securities Operations Trading and Market Making   Holiday Trade Date-Settlement Date Schedule Trade Date—Settlement Date     The NASDAQ Stock Market and the
Testimony Before the Senate Committee on Banking, Housing and Urban Affairs Hearing on Money Laundering
On behalf of NASD, I would like to thank Chairman Sarbanes, Ranking Member Gramm, and the members of the Senate Banking Committee for this opportunity to testify.
Notice to Members 02-20
INFORMATIONAL Revised Forms U-4 And U-5 Effective Date: March 18, 2002 SUGGESTED ROUTING KEY TOPICS Continuing Education Legal & Compliance Operations Registered Representatives Registration Senior Management Training Central Registration / Depository System IM-8310-2 Investment Adviser / Representatives U-4 U-5 Executive Summary The Securities and Exchange
Customer Identification Program Notice
Important Information You Need to Know about Opening a New Account
Notice to Members 01-82
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 Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule The Nasdaq Stock Market® and the securities exchanges will be closed