Summary
Effective September 1, 2021, FINRA is amending its rulebook to eliminate the Order Audit Trail System (OATS) rules in the FINRA Rule 7400 Series and FINRA Rule 4554 (Alternative Trading Systems — Recording and Reporting Requirements of Order and Execution Information for NMS Stocks) (collectively referred to as the “OATS Rules”). FINRA has determined that the accuracy and
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Registration
Training
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on the following:
A proposed amendment to
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.
The Liquidity section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
FINRA Reminds Firms of Their Obligation to Provide Accurate Information in Disseminating, or Using Services to Disseminate, Indications of Interest
I oppose ANY regulation limiting my choice to invest in any product or service of my choice.
We should be able to choose the public investments that are right for me and my family.
Public investments should be available to all of the public,
not just the privileged.
We shouldn't have to go through any special process
like passing a test before we can invest in public securities,
like
NASD, through its subsidiary, The Nasdaq Stock Market, Inc. ("Nasdaq"), is filing with the Securities and Exchange Commission ("Commission") a proposed rule change to exempt all securities included in the NASDAQ 100 Index from the price test set forth in NASD Rule 5100 (formerly Rule 3350).
As of March 27, 1995, the following 34 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,740:
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
Symbol
Company
Entry Date
SOES Execution Level
CYTOR
Cytogen Corp. (Rts 1/31/97)
2/24/95
200
CYTOW
Cytogen Corp. (
Uninvested cash is a potentially valuable part of your investment portfolio. So it pays to pay attention to it, especially when interest rates move up or down. Understand the facts about your uninvested cash, the different cash management programs available and questions to ask.
