Displaying 851 - 860 of 34762 Results
Regulatory Notice 08-13
FINRA Consolidates the Collection of Short Interest Data; Effective Date: May 15, 2008
Regulatory Notice 08-12
Effective March 26, 2008, principal approval is no longer required for certain previously filed sales material.
Regulatory Notice 08-11
Electronic Filing Regulatory Notice Referenced Rules & Notices NASD Rule 3170 NTM 06-61 Key Topics Electronic Filing Requirements Suggested Routing Compliance Legal Operations Senior Management   Executive
Notice to Members 05-35
GUIDANCE Foreign Hearing Locations Effective Date: June 6, 2005 SUGGESTED ROUTING KEY TOPICS Legal and Compliance Arbitration Dispute Resolution Foreign Hearing Locations Executive Summary The Securities and Exchange Commission (SEC) has approved amendments to IM-10104 and Rule 10315 of the NASD Code of Arbitration Procedure (Code) to permit parties to have
Notice to Members 05-34
GUIDANCE Research Analysts and Research Reports Compliance Date: June 6, 2005 SUGGESTED ROUTING KEY TOPICS Executive Representatives Investment Banking Legal & Compliance Operations Research Senior Management Communications with the Public Investment Banking Research Analysts Executive Summary The Securities and Exchange Commission (SEC) has
Notice to Members 05-33
GUIDANCE Issues Relating to the SEC's Adoption of Regulation SHO SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Operations Registered Representatives Senior Management Systems Trading Training Order Audit Trail System (OATS) Order Marking SEC Regulation SHO Short Sales Executive Summary NASD, in conjunction with The Nasdaq Stock
Notice to Members 05-32
GUIDANCE Predispute Arbitration Agreements SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Arbitration Books and Records Predispute Arbitration Agreements Rule 3110 Executive Summary NASD Rule 3110(f) governs a member's use of predispute arbitration agreements with customers. The Securities and Exchange Commission (SEC) has approved
Notice to Members 05-31
GUIDANCE Options Position and Exercise Limits SUGGESTED ROUTING KEY TOPICS Institutional Legal & Compliance Options Senior management Trading Training Exercise Limits Hedge Exemption Options Position Limits Rule 2860 Executive Summary On March 30, 2005, NASD filed for immediate effectiveness with the Securities and Exchange Commission (SEC) amendments to
Regulatory Notice 08-10
FINRA Announces Amendments to Make Permanent the Pilot Program Increasing Positions and Exercise Limits for Stock Options; Effective Date: February 28, 2008
Questions to Ask Before You File a Complaint
Questions to Ask Before You File a Complaint