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Notice to Members 02-56
INFORMATIONAL Board of Governors Nominees SUGGESTED ROUTING KEY TOPICS Executive Representatives Senior Management NASD Board of Governors The Annual Meeting of members of NASD will be held on December 5, 2002. The formal notice of the meeting, including the precise date, time, and location of the Annual Meeting, will be mailed on or about November 4, 2002. The
Regulatory Notice 15-40
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2016
Regulatory Notice 10-01
Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
Notice to Members 01-83
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of October 21, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity ADLA.GS Adelphia Communications Corp
6898. Consolidated Audit Trail—Fee Dispute Resolution
(a) Definitions (1) For purposes of this Rule, the terms "CAT NMS Plan", "Industry Member", "Operating Committee", and "Participant" are defined as set forth in Rule 6810 (Consolidated Audit Trail—Definitions). (2) "Subcommittee" means a subcommittee designated by the Operating Committee pursuant to the CAT NMS Plan. (3) "CAT
Notice to Members 98-41
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of April 24, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM). Symbol Name Coupon Maturity PRVC.GA President Riverboat Casinos Inc 13.000 09/15/01 TCFD.GB Trump's Castle Funding Inc
Regulatory Notice 24-03
SummaryFINRA has amended its Codes of Arbitration Procedure (Codes) to make: (1) changes to the arbitrator list selection process in response to recommendations in the report of independent counsel Lowenstein Sandler LLP (Report) and (2) clarifying and technical changes to requirements in the Codes for holding prehearing conferences and hearing sessions, initiating and responding to claims,
Regulatory Notice 13-01
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Election Notice - 10/19/11
Notice of FINRA Small Firm Advisory Board Election and Ballots
Interpretive Letter to Susan S. Krawczyk, Esq., Sutherland Asbill & Brennan LLP
Hypothetical illustration required by state law does not constitute "sales literature" under Rule 2210.