FINRA Manual: Contents
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For Your Information
For Your Information
National Association of Securities Dealers, Inc.
District 12 Sponsors September Seminar in New York
NASD District 12 will sponsor its third annual educational seminar September 26 at the Vista International Hotel in New York City. Directed toward management and financial/operational personnel of NASD members, the seminar will feature more than 30 speakers on topics such as supervision, arbitration, state regulatory issues, and advertising.
The luncheon speaker will be Hardwick Simmons, chairman of the Securities Industry Association and vice chairman of Shearson Lehman Hutton Inc. Other notable speakers include Joseph Hardiman, president, NASD; Theodore Focht, president and general counsel, Securities Investors Protection Corp.; Lawrence Iason, regional administrator, Securities and Exchange Commission; and Mark Hanson, assistant U.S. attorney, Southern District of New York.
Throughout the day, NASD staff will offer demonstrations and answer questions on such services as the NASDAQ Workstation, ACT, ACES, PORTAL, OTC Bulletin Board, and enhanced OCT.
The seminar fee is $175, which includes the program, reference materials, luncheon, and refreshments. Space is limited, so register early. For more information on the seminar or to register, contact Rosalie Tardi, District 12, at (212) 858-4178.
Texas Reduces Agent and Broker Registration and Renewal Fees
Effective September 1, 1989, the Texas Securities Commission reduced all registration and renewal fees by $110. The new fees are:
Agent Registration — $30
Agent Renewal Fee — $15
Broker-Dealer Registration — $70
Broker-Dealer Renewal — $35
If you have any questions regarding this change, please contact NASD Information Services at (301) 590-6500.
Series 7 Site Change in Atlanta for October
The October 21, 1989, Series 7 examination in Atlanta will be held at Ramada Inn Northeast, 1-85 and Shallowford Road, 2960 N.E. Expressway, Atlanta, Georgia.