The data elements specified in Rule 7330(d) are critical to FINRA’s compilation of a transaction audit trail for regulatory purposes. As such, all member firms utilizing the trade reporting service of the System have an ongoing obligation to input 7330(d) information accurately and completely.
Adopted by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Selected Notice: 08-57.
TO: All NASD Members and Other Interested Persons
Existing Limited Representative Examinations
Investment Company Products/Variable Contracts
Direct Participation Programs
Municipal Securities
Option Securities*
Products Covered in Proposed Corporate Securities United Representative Examinations
Common and Preferred Stock
Corporate Debt Issues
Stock Rights and Warrants
Foreign Securities and
GUIDANCEContinuing EducationSUGGESTED ROUTINGKEY TOPICSContinuing EducationLegal & ComplianceRegistrationSenior ManagementContinuing EducationFirm ElementExecutive SummaryThe Securities Industry/Regulatory Council on Continuing Education (Council) has issued the annual Firm Element Advisory, a guide for firms to use when developing their continuing education Firm Element training plans.
Release DateSystemAreaDescriptionAugust 1, 2025FINRA GatewayIndividual ProfilesBug Fix: The Reg Element CE course and its credits are not displayed in the IAR CE sub-section under Continuing Education section. With this fix, the user will be able to view all the applied or excess courses including Reg Element CE course. Enhancements: The tooltip languages for eligible
Beginning in early December 2022, FINRA will introduce changes to the Trade Data Dissemination Service (TDDS 2.0).1 These changes are being made in concert with FINRA’s technical infrastructure upgrade, and TDDS clients should plan to accommodate them.
FINRA has updated the TDDS specification to correspond with these changes and has also included the link to the MOLD/UDP 64 specification in the
Thank you, Paul, for that introduction, and thank you to the Exchequer Club for the invitation.
GUIDANCE
Amendments Regarding Deadlines for Submission of Initial Annual Report under Rule 3012 and Execution of the Initial Annual Certification under Rule 3013 and IM-3013
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
IM-3013 (Annual Compliance
and Supervision
I have been investing in the stock market for over the last 22 years. I do not want anymore government control over what or how I invest MY money. It is important that regulations are not created to reduce my ability to earn or lose money with investment products. I do not want to pay for services that I have already been successfully performing myself. Do not make the system anymore unfair to
SUGGESTED ROUTING
Legal & ComplianceOperationsTrading
Executive Summary
On July 22, 1994, the Securities and Exchange Commission (SEC) approved an NASD rule change that deletes Part IX, Schedule D to the NASD By-Laws. The deleted provision permitted NASD members to access The Nasdaq Stock Market (Nasdaq) in a market-making capacity without subscribing to Level 3 Nasdaq Workstation
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
