Displaying 8431 - 8440 of 9109 Results
Notice to Members 06-45
GUIDANCE Correspondence SUGGESTED ROUTING KEY TOPICS Advertising Executive Representatives Legal & Compliance Registered Representatives Senior Management CorrespondenceRule 2211 Executive Summary On July 26, 2006, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 2211, which governs NASD member institutional sales material and correspondence.1 The
FINRA Joins Exchanges in Fining Newedge USA, LLC $9.5 Million for Supervisory, Regulation SHO, and Books and Records Violations
The Financial Industry Regulatory Authority (FINRA), along with BATS Exchange, Inc.<sup>1</sup>, New York Stock Exchange LLC<sup>2</sup>, NYSE Arca, Inc. and The NASDAQ Stock Market LLC, announced today that they have censured and fined Newedge USA, LLC of Chicago $9.5 million for failing to supervise trading by clients that directly accessed U.S. equities markets through Newedge's order routing platform
Trade Reporting Notice – 10/7/15
Dissemination of Qualified Contingent Trades Reported to FINRA
Monthly Disciplinary Actions August 1998
December 2017 Board Update
FINRA President and CEO Robert Cook, Chairman Bill Heyman, Board members and FINRA staff provide updates on the December 2017 FINRA Board of Governors meeting, including discussions around FINRA’s finances and financial transparency, 2017 accomplishments, enterprise risk management and more.
Interpretive Letter to Sheryl Anne Zuckerman, Esq., Singer Frumento LLP
<p>Applicability of NASD Rule 3030 to an associated person filing a membership application with the NASD to form a new broker/dealer.<br /> </p>
Notice to Members 00-35
INFORMATIONAL Continuing Education SUGGESTED ROUTING KEY TOPICS Continuing Education/Testing/Qualifications Legal &amp; Compliance Registration Senior Management Continuing Education Regulatory Element Notification Written Supervisory Procedures Executive Summary National Association of Securities Dealers, Inc. (NASD®) firms are reminded that the Web Central Registration
Election Notice - 10/17/12
Notice of FINRA Small Firm Advisory Board Election and Ballots
Notice To Members 94-9
SUGGESTED ROUTING Senior ManagementLegal &amp; ComplianceOperationsSystemsTrading Executive Summary On January 6, 1994, the Securities and Exchange Commission (SEC) approved an amendment adding a new Section 46 to the NASD Rules of Fair Practice that requires members holding open orders to adjust the price and the size, if necessary, of the order by the amount of any dividend, payment, or
Notice To Members 93-33
SUGGESTED ROUTING Senior ManagementLegal &amp; ComplianceTrading Executive Summary The cornerstone of the NASD's self-regulatory process is the nationwide committee system of securities industry representatives that conducts peer reviews, takes disciplinary action where appropriate, and imposes remedial sanctions when federal securities laws or NASD® rules and regulation have been