Notice of Special Meeting of FINRA Large Firms to Elect Large Firm Governor and Proxy
FINRA Small Firm Advisory Board Election
Notice of Nominee to Fill FINRA Board of Governors Large Firm Seat
SUGGESTED ROUTING*
Senior Management
Internal Audit
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum SOES order size for all NASDAQ National Market securities was established as follows:
A 1,000-share
INFORMATIONAL
Quarterly Disciplinary Update
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Training
Disciplinary Information
Executive Summary
The NASD Regulation, Inc. (NASD Regulation) Office of General Counsel (OGC) announces the quarterly distribution of a new publication entitled the
INFORMATIONAL
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
In response to the request1 from the Securities and Exchange Commission (SEC) for a plan on the implementation of decimals trading, the National
Obligation to Provide Timely, Complete and Accurate Information on Form U5
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
