NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend through December 31, 2005, the current pilot price-improvement standards for decimalized securities contained in NASD Interpretive Material 2110-2 - Trading Ahead of Customer Limit Order ("Manning Interpretation" or "Manning").
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Section 4 of Schedule A to the NASD By-Laws to: (1) establish an annual branch office system processing fee; and (2) waive the annual branch office system processing fee for one branch office per member per year and, as specified in the proposed rule
Executive Summary
The Central Registration Depository (CRDSM), a computerized database containing information on all licensed registered representatives and broker/dealers, is undergoing a technological upgrade. As part of this project, the NASD has converted disclosure information from its current state (free text) into a new format (Windows-based, with discrete fields and pick lists). This
This filing has been withdrawn.
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 from NASD Rule 3350, the short sale rule, sales in Nasdaq National Market (“NNM”) securities reported to the Nasdaq Market Center trade reporting service comprising the “riskless” portion of a
FINRA offers the Free Trial program to all TRACE Vendors who sign the
TRACE Free Trial Addendum
. Participating Vendors must adhere to the below requirements:
Vendors must maintain their own trial agreement/contract with the prospective client.
The Free Trial of TRACE Data must be run at the same time as a free trial of the vendors' system/interrogation
The following courses do not require registration and may be accessed immediately by clicking on the video link.
FINRA is committed to providing firms with prompt and accurate answers to their regulatory questions. As part of that commitment, FINRA has assigned a dedicated Risk Monitoring Team to every firm which includes a Risk Monitoring Senior Director, Risk Monitoring Director, and Risk Monitoring Analyst.
