Displaying 7661 - 7670 of 9026 Results
INFORMATIONAL
Dispute Resolution
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Arbitration
Dispute Resolution Regional Offices
Mediation
Executive Summary
Effective October 6, 2006, NASD will close its Mid-Atlantic Dispute
Resolution Office. All arbitration cases currently assigned to the
Mid-Atlantic Region will continue to be administered by
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) today announced the results of voting that took place at its 2012 Annual Meeting today in Washington, DC.
WASHINGTON -- The Financial Industry Regulatory Authority (FINRA) announced today the launch of a pilot program specifically designed for large arbitration cases involving claims of $10 million or more.
WASHINGTON — Cybersecurity, investing by seniors, and other regulatory topics of interest will be discussed when the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) hold their National Compliance Outreach Program for Broker-Dealers on July 27.
Registration opened today for the program, which is designed to provide an open forum for regulators and
SUGGESTED ROUTING
Senior Management
Continuing Education
Institutional
Legal & Compliance
Operations
Registered Representatives
Systems
Trading
Training
Executive Summary
On September 22, 1998, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD® or Association) rules regarding Electronic Communications
REQUEST FOR COMMENT
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Research
Senior Management
Technology
Trading and Market Making
Training
Debt Securities
OperationsRule 6200 Series
TRACE Rules
Transaction Reporting
Executive Summary
NASD has received multiple requests to broaden the provision of
previously non-public historic Trade
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced that the National Adjudicatory Council (NAC) revised the Sanction Guidelines to include a new principal consideration that contemplates coverage for financial exploitation of vulnerable individuals or individuals with diminished capacity. It also includes three new guidelines relating to systemic supervisory failures
On Monday, June 1, 2015, FINRA will implement changes that affect TRACE reporting requirements, TRACE data feeds and TRACE reference data.
INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Senior Management
NASD Board of Governors
Executive Summary
The Annual Meeting of NASD members will be held on February 3,
2006.
The formal notice of the meeting, including the precise time and
location, will be mailed on or about December 29, 2005. The
individuals nominated by the NASD National Nominating Committee
(NNC
Executive Summary
The annual meeting of FINRA firms will take place on or about Wednesday, September 1, 2021, to elect one Large Firm Governor, one Mid-Size Firm Governor, and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Monday, August 2