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Remarks at the North American Electronic Bond Trading Forum
As prepared for delivery Electronic Trading in the Bond Markets Good morning. Thank you [Mark Monahan] for that introduction. I’m pleased to have this opportunity to join today’s conversation on the increasing automation of fixed income markets. Many of us have been in the securities business long enough to appreciate how the first electronic trading system—the NASDAQ quotation system that was
Regulatory Notice 09-71
SEC Approves Consolidated FINRA Rules Governing Financial Responsibility
Notice to Members 97-47
Comment Period Expires: September 29, 1997 SUGGESTED ROUTING Senior Management Advertising Legal & Compliance Mutual Fund In the following document, NASD Regulation, Inc. (NASD RegulationSM) requests public comment concerning the potential benefits to investors of allowing the
Broker Dealer Firms We Regulate - G
G. A. REPPLE & COMPANY101 NORMANDY RD, CASSELBERRY, FL 32707G.DISTRIBUTORS, LLCONE CORPORATE CENTER, RYE, NY 10580-1435G.RESEARCH, LLCONE CORPORATE CENTER, RYE, NY 10580-1435G.W. SHERWOLD ASSOCIATES, INC22994 EL TORO ROAD, LAKE FOREST, CA 92630G1 EXECUTION SERVICES, LLC175 W. JACKSON BLVD., SUITE 1700, CHICAGO, IL 60604GAGNON SECURITIES, LLC1370 AVENUE OF THE AMERICAS, 26TH FLOOR, NEW
Regulatory Notice 09-70
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Registration and Qualification Requirements
A Closer Look at Crypto: The Crucial Role of FINRA’s CAI Team
In this second episode of a three-part series covering FINRA's crypto asset-related regulatory work, we hear from FINRA's Crypto Asset Investigations Team. This dedicated group of investigators specialize in conducting complex crypto asset investigations and share more about the crucial role it plays in ensuring compliance with existing rules and regulations in the crypto asset space.
Notice to Members 02-69
INFORMATIONAL Certificates of Deposit Effective Date: October 8, 2002 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Trading Operations Senior Management Certificates of Deposit Executive Summary NASD is issuing this Notice to supersede NASD Notice to Members 02-28 (Notice or Notice 02-28) and replace the guidance offered in Notice to
Notice to Members 02-55
REQUEST FOR COMMENT Regulation of IPO Allocations and Distributions Comment Period Expires: September 9, 2002. SUGGESTED ROUTING KEY TOPICS Corporate Financing Legal & Compliance Registered Representatives Senior Management Trading & Market Making Flipping IPO Allocations NASD Rule 2710 NASD Rule 2712 Penalty Bids Spinning Underwriting Compensation
Notice to Members 00-56
INFORMATIONAL Code Of Procedure SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Code Of Procedure Disciplinary Action Appeals Document Production Eligibility and Qualification Standards Failure to
Frequently Asked Questions about the 2001 Amendments to Broker-Dealer Books and Records Rules Under the Securities Exchange Act of 1934
On October 25, 2001, the SEC adopted amendments to Rules 17a-3 and 17a-4. The purpose of this Notice is to address some frequently asked questions about the SEC requirements.