SUGGESTED ROUTING
Internal Audit
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Operations
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Systems
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Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, January 19, 1998, in observance of Martin Luther King, Jr., Day. "Regular way" transactions
The Series 16 exam — the Supervisory Analyst Qualification Exam (SA) — assesses the competency of an entry-level principal to perform their job as a supervisory analyst.
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The BrokerCheck Terms of Use permit use of BrokerCheck data for investor protection, academic, compliance or regulatory purposes. The Terms of Use do not permit use of BrokerCheck for other purposes (with limited exceptions), and it may not be used in violation of the law.
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When you invest in stocks of publicly traded companies, something comes with the package—corporate actions, which may affect a company’s stock and, therefore, its shareholders. Here are six common types of corporate actions and how they might impact your investments.
FINRA Notice of Contested Election and Ballots for Small Firm NAC Member Seat
FINRA is committed to providing firms with prompt and accurate answers to their regulatory questions. As part of that commitment, FINRA has assigned a dedicated Risk Monitoring Team to every firm which includes a Risk Monitoring Senior Director, Risk Monitoring Director, and Risk Monitoring Analyst.
As of January 30, 1996, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
GRLC.GA
Great Lakes Carbon Corp
10
1/1/2006
NEOD.GA
Neodata Services Inc
12
NASD Rule 2510 - Discretionary Accounts - Application of NASD Rules 3110, 2510, 2310, and IM 2310-2 to a default IRA account established by plan sponsor in accordance with Department of Labor safe harbor provisions.
GUIDANCE
Research Analysts and Research Reports
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Rule 1050
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&
INFORMATIONAL
Broker-Dealer, Investment Adviser and Individual (AG/RA) Renewals 2005
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RegistrationRenewalsWeb CRD®IARDSMMaintenance Fees
Executive Summary
The 2005 NASD Broker-Dealer and Investment Adviser Registration
