Displaying 8161 - 8170 of 9026 Results
GUIDANCE
"New Issue" Rule
Effective Date: November 2, 2005
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing
Executive Representatives
Institutional
Legal & Compliance
Operations
Senior Management
Syndicate
Trading & Market Making
Training
Business Development Company
Direct Participation Program
Foreign Investment Company
IPO Distribution Manager
IPOs
New Issue
After your firm files SEC Form Funding Portal, you will need access to FINRA systems to file FINRA forms such as the Form FP-NMA as well as access to the Funding Portal Registration Depository (FPRD) and other related systems.FINRA’s 2024 Entitlement User Accounts Certification ProcessFINRA’s 2024 Entitlement Certification period is April 15 – June 17. During this period, Super Account
FINRA Requests Comment on a Proposed New Rule Requiring Carrying/Clearing Member Firms to Maintain and Keep Current Certain Records in a Central Location
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Registration
Training
Executive Summary
On February 13, 1995, in SEC Release No. 34–35361, File No. SR-NASD-94–51, the Securities and Exchange Commission (SEC) approved amendments to Parts VI and X of Schedule C of the NASD By-Laws relating to foreign finders and foreign associates. These amendments
SUGGESTED ROUTING
Senior Management
Advertising
Government Securities
Legal & Compliance
Executive Summary
On August 9, 1995, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 35 of the NASD® Rules of Fair Practice and Section 8 of the Government Securities Rules (collectively, the Rules) to broaden the definitions of, and revise the approval and
WASHINGTON - The FINRA Investor Education Foundation has opened the application process for its 2011 Military Spouse Fellowship Program. Now in its sixth year, the program provides fellowship recipients with the education needed to earn the Accredited Financial Counselor® (AFC®) designation. Military spouses are now eligible to apply to the new class of fellows.
REQUEST FOR COMMENT
Proposed Rule Governing Allocations and Distributions of Shares in Initial Public Offerings (IPOs)
Comment Period Expires: January 9, 2004
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing
Legal & Compliance
Senior Management
Trading & Market Making
IPO Allocations
IPO PricingRule 2710Rule 2712
Underwriting
Items discussed at the September meeting include: Financial Exploitation of Seniors and Other Vulnerable Adults; FOCUS Report Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items; OTC Bulletin Board; Securities Trader Qualification Exam Fee; Dispute Resolution Party Portal and Expungement of Customer Dispute Information.
Application of Rule 2370 to lending arrangements between registered persons and banks or other financial institutions in the business of lending money.
INFORMATIONAL
SEC Approves Arbitrator Background Verification Process
Effective Date: October 1, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Arbitration
Executive Summary
On September 25, 2003, the Securities and Exchange Commission (SEC) approved a proposal to conduct background verification and charge an