FINRA Revises the Series 55 Examination Program
Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process
08-51 - SEC Approves Amendments to FINRA's Transaction Reporting Rules to Require Prompt Last Sale Reporting of Transactions in Foreign Securities
FINRA Designates Additional Index Available for Conventional Equity Options Position Limits Calculation
Arbitration Panel Composition for Promissory Note Disputes
INFORMATIONAL
Variable Contracts
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Insurance
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Variable Contracts
Suitability
Supervision
Variable Contracts
Executive Summary
Due to the growth in sales and the popularity of variable life insurance products, NASD
Notice of SFAB Election and Ballots
Non-Party Witness’ Attorney May Attend Hearing While Witness Is Testifying
Weighted-Average Price/Special Pricing Formula Trade Modifier
GUIDANCE
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Finance
Legal & Compliance
Registered Representatives
Senior Management
Trading
NASDAQ Exchange Market Makers
Riskless Principal
Trading Activity Fee
Executive Summary
NASD is issuing this Notice to supplement guidance provided in
NASD Notice to Members (NTM) 06-44 relating to the application
of the Trading
