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Notice to Members 00-88
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 Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule The Nasdaq Stock Market® and the securities exchanges will be closed
Regulatory & Compliance Alert - Winter 2000
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Notice to Members 99-88
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 The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the
Notice to Members 99-86
INFORMATIONAL Imposition And Collection Of Monetary Sanctions SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Disciplinary Actions The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure. Executive Summary The purpose
Notice to Members 99-76
INFORMATIONAL OTC Bulletin Board SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Operations Trading & Market Making OTC Bulletin Board Eligibility Rule The Suggested Routing function is meant to aid the reader of this
Remarks at the Security Traders Association Annual Conference
Remarks by Chairman and CEO Rick Ketchum at the Security Traders Association Annual Conference
Notice to Members 07-01
GUIDANCE Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2007 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Registered Representative Registration Senior Management IARDSM Maintenance Fees Registration Renewals Web CRD®
Regulatory Notice 13-28
FINRA Revises the Series 16 Examination Program
Notice to Members 04-49
INFORMATIONAL Arbitrator Classification Effective Date: July 19, 2004 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Arbitration Arbitrators Dispute Resolution Executive Summary The Securities and Exchange Commission (SEC or Commission) has approved amendments to Rules 10308 and 10312 of the NASD Code of Arbitration
Notice to Members 98-106
SUGGESTED ROUTING Internal Audit Legal & Compliance Municipal Operations Syndicate Systems Training Martin Luther King, Jr., Day: Trade Date - Settlement Date Schedule The Nasdaq Stock Market® and the securities exchanges will be closed on Monday, January 18, 1999, in observance of Martin Luther King, Jr., Day. "Regular way" transactions made on the