Firms must register any person engaged in the securities business of the firm by filing the appropriate registration application online through the Central Registration Depository (CRD) Program to become registered with FINRA, the appropriate jurisdictions and/or self-regulatory organizations.CRD-Registered FirmsFirms registered with one or more CRD-participating regulators must
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 2340 to relieve members from the requirement to send quarterly account statements to customer accounts that are carried solely for the purpose of delivery versus payment and receive versus payment ("DVP/RVP") transactions, provided certain
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend through June 30, 2006, the current pilot price-improvement standards for decimalized securities contained in NASD Interpretive Material 2110-2 - Trading Ahead of Customer Limit Order ("Manning Rule" or "Manning").
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") proposed NASD Rule 2342, which would require members to advise all new customers, in writing, at the opening of an account, and all customers at least once each year that they may obtain information about the Securities Investor Protection Corporation ("SIPC"), including the SIPC
FINRA operates systems that help member firms comply with reporting requirements and facilitate transparency in the applicable markets.
Alternative Display Facility (ADF)
The Alternative Display Facility (ADF) is an SRO display only facility that is operated by FINRA. The ADF provides members with a facility for the display of quotations, the reporting of trades, and the comparison of trades.
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NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 2520 and 2522 that will revise the margin requirements to (1) recognize specific additional complex option spread strategies for purposes of determining required margin and (2) amend the provisions relating to "permitted offsets" for certain
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule to establish new NASD Rule 2290 to address disclosures and procedures concerning the issuance of fairness opinions.
