Witryna6 kwi 2024 · 20572 Federal Register/Vol. 88, No. 66/Thursday, April 6, 2024/Notices 37 17 CFR 240.17a–3 and 240.17a–4.See generally Notice to Members 01–80 (December 2001) (describing amendments to the SEC Books and Records Rules). 38 See Notice 02–10. 39 See Notice 01–35. 40 See Securities Exchange Act Release No. 52403 … WitrynaAs reviewed in Notice to Members 94-44, Article III, Section 40 requires that any person associated with an NASD member who participates in a private securities transaction …
Notice to Members 04-10 FINRA.org
Witryna18 mar 2001 · NASD Regulation acknowledges the numerous benefits that are enjoyed by members and their customers as a result of the Internet and online brokerage … WitrynaQuestions regarding this Notice may be directed to the Nasdaq Office of General Counsel at (202) 728-8294; Nasdaq MarketWatch at (800) 211-4953; and the Legal … htp mails abrufen
SECURITIES AND EXCHANGE COMMISSION and Rule 19b-4 …
Witryna1 mar 1996 · On January 29, 1996, the Securities and Exchange Commission (SEC) approved amendments to Sections 1(a)(v) and 73 of the NASD® Uniform Practice … WitrynaMembers 04-66 also re-asserted that members are responsible for all trading conducted in their name, and that the member is responsible for the fees associated with that … Witryna21 mar 2006 · Extension of Effective Date of NASD Uniform Branch Office Definition and Certain Form BR and Form U4 Filing Requirements from May 1, 2006 to July 3, 2006, … hoegh chiba vessel