Displaying 8851 - 8860 of 9109 Results
Funding Portal Statutory Disqualification Process
The following is an overview of the rules and procedures applicable to funding portal members seeking to hire or retain a person who is or becomes subject to disqualification, and for funding portal members that themselves are or become subject to disqualification. General Information on FINRA’s Eligibility Requirements Under the FINRA By-Laws, no person shall be admitted to or continued in
Notice To Members 93-30
SUGGESTED ROUTING Senior ManagementInternal AuditLegal & ComplianceOperationsSystems Executive Summary On November 24, 1992, the Securities and Exchange Commission (SEC) adopted significant amendments to the Net Capital Rule, Rule 15c3-1. The changes to the minimum net capital requirements will take effect in three installments beginning July 1, 1993; other changes took effect on
Election Notice - 8/5/11
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
Regulatory Notice 09-72
SEC Approval and Effective Dates for New Consolidated FINRA Rules
Regulatory Notice 12-12
SEC Approves Amendments to FINRA’s Code of Procedure
Susan Merrill Testimony Concerning Auction Rate Securities Markets
Testimony Concerning Auction Rate Securities Markets, Committee on Financial Services, U.S. House of Representatives
Information Notice – 11/24/20
The national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 27, 2020 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options. FINRA reminds firms that pursuant to FINRA Rule 2360(b)(23)(A)(viii), if a national options exchange or The Options Clearing Corporation announces a modified time for the close of trading in
Notice To Members 91-25
SUGGESTED ROUTING:* Senior ManagementInternal AuditLegal & ComplianceMutual FundTraining*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The NASD requests comments on proposed amendments to Article III, Sections 26 and 29 of the NASD Rules of Fair Practice. The amendments would revise, simplify, and add a recordkeeping requirement to
Regulatory Notice 18-04
FINRA and ISG Announce Extension of Effective Date for Certain Electronic Blue Sheet Data Elements and Updates to Certain Requestor and Exchange Codes
Notice to Members 02-68
INFORMATIONAL SEC Approves Rule Change to IM-10100 Effective Date: On or After September 30, 2002 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Registered Representatives Registered Principals Senior Management Arbitration Associated