Displaying 7681 - 7690 of 8409 Results
Regulatory Notice 11-10
FINRA Reminds Firms of Their Obligation to Electronically Report Specified Events and Quarterly Customer Complaint Information and Provides Additional Guidance on Automated Reporting Under FINRA Rule 4530
Interpretive Letter to Jeffrey W. Kilduff, Esq., O'Melveny & Myers, LLP
<p>Permissibility of electronic signatures under NASD Rules 3010(d) and 3110(c)(1)(C).</p>
Regulatory & Compliance Alert - Fall 1997
full_html
Notice To Members 85-52
IMPORTANT TO: All NASD Members and Other Interested Persons In November 1984, the SEC approved, by a split vote, the NASD's longstanding petition that the Commission amend its rule governing the qualifications for companies seeking inclusion in the NASDAQ National Market System. This landmark decision which, in essence, substitutes qualitative standards for market activity criteria, made an
Regulatory Notice 15-11
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Notice to Members 00-11
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal &amp; Compliance Municipal/Government Securities Operations Senior Management Trading &amp; Market Making FIPS As of December 23, 1999, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity AMKR.GB Amkor Technology Inc. 9.250
FINRA Qualification Examinations Rules of Conduct
The purpose of this notice is to make sure you understand and agree to the Qualification Examinations Rules of Conduct for examinations administered in test centers or remotely. You are required to agree to all of the following Rules of Conduct before starting your examination. Testing personnel are NOT authorized to grant exceptions to any of these rules. Personal Items I understand and
Regulatory Notice 13-13
SEC Approves Amendments to Rule 6440 Relating to Trading and Quotation Halts in OTC Equity Securities
Notice to Members 98-36
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal &amp; Compliance Municipal Operations Systems Trading As of March 25, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM). Symbol Name Coupon Maturity AMSD.GG American Standard Inc 7.125 02/15/03 AMSD.GH American Standard Inc 7.625 02/15/10 KVCO.GA
Notice to Members 97-36
SUGGESTED ROUTING &nbsp; Senior Management Advertising Corporate Finance Government Securities Institutional Internal Audit Legal &amp; Compliance Municipal Mutual Fund Operations Options Registration Research Syndicate Systems Trading Training Executive Summary The Office of General Counsel, NASD Regulation, Inc. (NASD RegulationSM) and Office of General