Displaying 8551 - 8560 of 9025 Results
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests membership comment on a proposed Corporate Financing Rule that, if adopted, would replace
NTM 06-60 is superseded by NTM 06-72GUIDANCE
Customer Account Statements
SUGGESTED ROUTING
KEY TOPICS
Individual Investors
Legal & Compliance
Operations
Registered Representatives
Senior Management
Clearing Firms
Customer Account Statements
Introducing Firms
NASD Rule 2340
SIPA (Securities Investor
Protection Act)
SIPC (Securities
The Registered Representative Composition Report is produced on a quarterly basis and displays trends in the profile of registered representatives associated with the firm. The report allows firms to compare their statistics to those of the industry. The data in this report comes from Web CRD®.
This report is generally published approximately 5 weeks after the last business day of the quarter.
There are nine categories of reports currently available on the Report Center:
Corporate Financing
Cross-Market Supervision
Disclosure
Equity
MSRB
Online Learning
Options
Risk Monitoring
TRACE
Unread Reports
The Unread Reports section contains a list of the most recent reports available to you that you have not yet viewed. The list of reports (displays only the most recent version of
(a) "Adjudicator"
The term "Adjudicator" means:
(1) a body, board, committee, group, or natural person that presides over a proceeding and renders a decision;
(2) a body, board, committee, group, or natural person that presides over a proceeding and renders a recommended or proposed decision which is acted upon by an Adjudicator described in paragraph (a)(1); or
(3) a
Gen Z is beginning to invest younger than any generation before them. On this episode, we take a deep dive into a new study by the FINRA Foundation and CFA Institute looking at the attitudes and behaviors of Gen Z investors, including the role of crypto as an onramp, the use of social media and more.
INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Board Elections
The Annual Meeting of Members of NASD will be held on January 6, 2004, at 11:00 am, at the NASD Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to conduct the election of Governors to the NASD Board. Members can raise other topics for
TO: All NASD Members
ATTN: Operations Principals, Cashiers, and P&S Dept.
The Securities and Exchange Commission has approved amendments to Sections 5, 9, 12 and 30 of the Uniform Practice Code. The Code prescribes the manner in which over-the-counter securities transactions other than those cleared through a registered clearing agency are compared, cleared and settled between NASD
Continuing Education Planning
FINRA Announces Updates of the Interpretations of Financial and Operational Rules