Market Makers must comply with the requirements of Rule 15c2-11 of the Securities Exchange Act of 1934 when initiating or resuming quotations in a quotation medium or making a publicly available determination pursuant to 15c2-11(a)(2) if a qualified IDQS, in an OTC security. Pursuant to FINRA Rule 6432, a firm including a Qualified IDQS must complete and submit a Form 211 to FINRA to demonstrate compliance. It is not necessary to file this application if an exemption applies.
File Transfer Applications (e.g., Shorts, Blue Sheets, ATS, REG M File Transfer, IFDF File Transfer and Rex File Transfer, etc.) are used by organizations to send and receive files through FTP.
The AG position is the designation used in Form U4 as part of the CRD Program to identify a person who has been approved to sell securities in a particular jurisdiction. Many states require qualification by examination for this position; however, the qualification requirements vary between jurisdictions. The North American Securities Administrators Association (NASAA), after consultation with
Security Futures Risk Disclosure Statement
NASD has filed with the SEC a proposed rule change to amend NASD Rule 6250(a)(4) to increase the number of TRACE-eligible securities to be disseminated under the rule from 90 securities to up to 120 securities.
Bank Notification Used In Conjunction With A Special Reserve Bank Account For The Exclusive; Benefit Of Customers
NASD has filed with the SEC a proposed rule change to adopt new Rule 3012 and amend other rules regarding the supervisory and supervisory control procedures of member firms.
NASD has filed with the SEC a proposed rule change to amend NASD Interpretive Material 2260 ("IM-2260") regarding rates of reimbursement for expenses incurred in forwarding proxy material, annual reports, information statements, and other material.
The delivery of Continuing Education Regulatory Element and Qualifications Examinations is now available at the following remote sites on the dates specified
Alaska
Anchorage
March 19-21
June 11-13
California
Bakersfield
