On Thursday, September 1, 2022, FINRA will begin to collect data on depository institutions’ daily transactions in marketable U.S. Treasury securities and in the debentures and MBS issued by U.S. federal government agencies, including government-sponsored enterprises (agencies), via its Trade Reporting and Compliance Engine (TRACE).
A final production User Acceptance Test (UAT) will occur on
On Thursday, September 1, 2022, FINRA will begin to collect data on depository institutions’ daily transactions in marketable U.S. Treasury securities and in the debentures and MBS issued by U.S. federal government agencies, including government-sponsored enterprises (agencies), via its Trade Reporting and Compliance Engine (TRACE).
A second production User Acceptance Test (UAT) will occur on
Correction: On page 571, the second sentence under the subhead Updated Financial Information should read: "The updated information shall be prepared as of a date that is within 45 days before the interview." The online version of this Notice has been corrected.
INFORMATIONAL
Membership Rules
Effective Date: November 15, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal &
FINRA member firms that use Cisco Secure Firewall Management Center (FMC) Software should be aware of a critical vulnerability that could allow a remote attacker to run malicious code on firm systems with full administrative privileges. This Cybersecurity Alert includes a link to a Cisco Security Advisory describing the vulnerability that includes additional guidance. FINRA recommends that member firms review this information with appropriate information technology and information security personnel.
Correction - On page 497, the third sentence in the last paragraph under subhead Background - SelectNet And SOES should read: The SOES rules currently contain a specific provision, NASD Rule 4720(c)(4), that requires SOES order entry firms to maintain the physical security of Nasdaq equipment located on the premises of the firm to prevent unauthorized entry of information into SOES.
REQUEST FOR COMMENT
Membership Application Rules
Comment Period Expires: September 20, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Membership Application Process
Membership Continuation Process
Rule 1014
Rule 1017
Executive Summary
NASD requests comment on proposed amendments to Rules 1014 and 1017. Rule 1017(a) sets forth certain
The Communications with the Public section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
(a) Except as provided in paragraph (b), no member shall, directly or indirectly, give, permit to be given, or offer to give, anything of value to any person for the purpose of influencing or rewarding the action of such person in connection with the publication or circulation in any electronic or other public media, including any investment service or similar publication, Web site, newspaper
Good morning, Mr. Chairman, Senator Gramm, Members of the Committee. On behalf of the NASD, I want to thank the Committee for this opportunity to testify – and to commend you for holding a timely hearing on a vital subject.
REQUEST FOR COMMENT
Rule Harmonization
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing Legal & Compliance
Registration
Senior Management
Branch Office
Initial Public Offering
Office of Supervisory Jurisdiction
Registration
Rule 2711 (Research Analysts and
Research Reports)
Rule 3010 (Supervision)
Rule Harmonization
