In this third and final episode in our series covering FINRA's ongoing crypto asset regulatory work, we hear from FINRA's Blockchain Lab, which serves as a central point within FINRA for the development of blockchain-related regulatory initiatives to learn about how the Lab is supporting and advancing FINRA's regulatory work involving crypto assets.
January 31, 2012
Dear Executive Representative/Chief Compliance Officer:
FINRA® is publishing its
2012 Regulatory and Examination Priorities Letter
to highlight new and continuing areas of significance to our regulatory programs, including topics of heightened importance to FINRA's Member Regulation, Market Regulation and Enforcement Departments, and the
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
Executive Summary
Effective February 1, 1993, market makers in Nasdaq Small-Cap MarketSM securities had to display size in their quotations of at least 500 shares, unless the issues are priced at $10 or more and trade less than 1,000 shares per day. Those issues will remain at the 100 share-display requirement. The
AWS makes it easy to set up a REST service with authentication using Lambda, the AWS API Gateway, and IAM. Using these technologies through AWS doesn’t require hosting cost for the Lambda and API Gateway service and you pay per Lambda call. You also benefit from Lambda auto-scaling depending on the request volume and concurrency.
TO: All NASD Members and Other Interested Persons
ATTN: REGISTRATION, TRAINING AND COMPLIANCE PERSONNEL AND BRANCH OFFICE MANAGERS
The recently enacted Tax Reform Act of 1986 (the "Act") will impact the subject matter of the qualification examinations administered by the NASD. Existing test items affected by these changes will be modified to reflect the new provisions of the Act on
TO: All NASD Members and NASDAQ Level 2 and 3 Subscribers
On February 8, 1983, 100 additional NASDAQ securities will enter the NASDAQ National Market System (NMS). As a result, real-time trade reporting will be required in these securities commencing on that date.
Of these securities, 50 met the Tier 1 criteria as stated in SEC Rule HAa2-l as of the December 31, 1982, qualification date and,
Summary
Exchange-traded products (ETPs) provide different types of exposure to the oil market through several product structures, which some investors or investment professionals might not understand.1 Moreover, the performance of such products may be linked to unfamiliar indices or reference benchmarks, making them difficult for the average investor to comprehend. In particular, a
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Trading
Training
Executive Summary
On December 7, 1994, in SEC Release No. 34-35059, File No. SR-NASD-94-15, the Securities and Exchange Commission (SEC) approved amendments to the NASD Free-Riding and Withholding Interpretation (Interpretation), an Interpretation of the Board of
Date
Feature
Description
December 15, 2022
Requests and Filings
Filters:
Re-design in the layout
Moved all the Frequently used filters to the top such as Date filter, Overdue and Status filter
Mapped the Type filters under their associated “parent” Category filters
Enabled the multi-select capability under each
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Mutual Fund
Training
Executive Summary
The obligation of NASD® members under the Rules of Fair Practice with respect to mutual fund sales practices is a continuing concern of the NASD. The proliferation of new mutual funds and varied fee structures has significantly increased the options available for
