SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Systems
Trading
Executive Summary
In 1996 there was an abundance of news and magazine articles, web pages, and special hearings in Congress designed to promote awareness of the Year 2000 (Y2K) challenge and to communicate information about the potential
The FINRA/Nasdaq TRF1 experienced an issue today, Friday, December 1, 2023, from 8:00 a.m. ET through 9:23:22 a.m. ET. The FINRA/Nasdaq TRF was rejecting trade reports for a subset of firms, and the root cause was due to a misconfiguration on Nasdaq’s Post Trade Risk system. The configuration was an update to the Post Trade Risk system in preparation for ACT Risk Management service
Technology Changes for Reporting Certain Complaint
and Disclosure Information
GUIDANCE
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Debt Securities Operations
Rule 6200 Series
Transaction Reporting
TRACE
Executive Summary
On June 14, 2004, the Securities and Exchange Commission (SEC or
Commission) approved
Effective August 1, 1995
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Training
At its July 1995 meeting, the NASD® Board of Governors approved temporary fee increases for certain agent registration filings to help fund the redesign and implementation of the Central Registration Depository (CRD). The following fee increases are effective August 1,
Service members or dependents may receive one-time lump sum payments for injuries, loss of life, insurance, or lawsuit proceeds. These payments can replace lost future income, so take steps to ensure they provide a long-term benefit for your family. To make the most of military benefits and lump sum payments consider these tips.
FINRA Publishes Consolidated Criteria to Designate Firms for Mandatory Participation in FINRA’s Business Continuity/Disaster Recovery Testing
FINRA has launched the API Developer Center as a strategic initiative to support the automation goals of the industry. Many of our member firms as well as their service providers have software and systems that they want to integrate with FINRA products and services. The API Developer Center represents our commitment to a fully supported suite of APIs so that API developers can be confident that
TO: All NASD Members and Other Interested Persons
The ribbon-cutting ceremony for the new 110,000-square-foot NASD Operations Center, which will serve the NASD membership and the NASDAQ market, will be September 17, 1986. The facility, located 18 miles north of Washington, D.C., in Rockville, Maryland, will support 200-million-share trading days and provide the first complete, back-up computer
Following are FAQs about FINRA registration and qualification requirements. Click on the links below to view all sections of the FAQs.
