Displaying 8751 - 8760 of 9025 Results
SEC Approves Amendments to Discovery Guide Used in Customer Arbitration Proceedings to Address Electronic Discovery, Product Cases and Affirmations
GUIDANCE
Market Order Protection
Effective Date: January 9, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
Trading
IM-2110-2
Manning Rule
Market OrdersRule 2111
Executive Summary
On August 9, 2005, the Securities and Exchange Commission (SEC) approved new Rule 2111, Trading Ahead of Customer Market Orders, which prohibits a firm
SEC Approves Amendments to Arbitration Codes Relating to Subpoenas and Orders to Direct the Appearance of Witnesses and Production of Documents Without Subpoenas
Update to Security Futures Risk Disclosure Statement and Supplement
Good afternoon and thank you for the invitation to join you this afternoon.
April 2003
In an effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each firm must
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
National Association of Securities Dealers, Inc. — 1735 K Street, NW — Washington, DC 20006 — 202-728-8000
November 15, 1997
Dear Member:
We are in the process of planning for the 1998 Annual Meeting of Members where Members will be asked to elect 22 Governors. The Members and the SEC just approved changes to the NASD By-Laws designed to improve our corporate governance structure so that we
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Notice of Contested Election and Ballots for Small Firm NAC Member Seat