As part of the registration / licensing process, FINRA administers examinations on which you must demonstrate proficiency in the areas in which you will work, prior to engaging in the activity
NASDR has filed with the SEC a proposed rule change to add a new Membership Rule that would provide members of the National Association of Securities Dealers, Inc. with a qualified immunity in arbitration proceedings for statements made in good faith in certain disclosures filed with the NASD on Forms U-4 and U-5, the uniform registration and termination notices for registered persons.
FINRA (f/k/a the National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 6952 to exclude certain orders and transactions in foreign equity securities from the Order Audit Trail System ("OATS") recording and reporting requirements.
These monthly reports cover trades of Treasuries, Securitized Products, Agency Bonds, and Corporate Debt that a member firm reported to the Trade Reporting and Compliance Engine (TRACE).
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Internal Audit
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The National Association of Securities Dealers, Inc. (NASD®) will observe the following holiday schedule for 1999:
January 1
New Years Day
January 18
Birthday of Martin Luther King, Jr.(Observed)
February 15
Presidents Day
April 2
Good Friday
May
As of August 1, 2016 firms will no longer be able to download the SOD and EOD files via FTP. Rather, the Start of Day (SOD) and End of Day (EOD) reportable securities lists may be downloaded either by typing the URL(s) for the associated list in one of the supported browsers or via command line.
NASDR has filed with the SEC a proposed rule change to amend the Rule 2300 Series of the NASD Rules to include new Rules 2360 and 2361. The proposed rule change would require a member firm that is promoting a day-trading strategy to furnish a risk disclosure statement to a non-institutional customer prior to opening an account for the customer and either to (1) approve the customer's account
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 7010A to adjust the fee structure for the Alternative Display Facility ("ADF") in light of the current participant quoting and trading activity.
February 12, 2002The next OATS Release is currently scheduled to go into production on Monday, April 8, 2002. The only coding change required is the addition of a Bunched Order Indicator field to the New Order, Cancel/Replace, and Combined Order/Execution Reports. This field will be used to show that an order was bunched upon receipt of the order.Other changes include:
The Account Type Code
