When you enter an order to buy or sell a stock, your registered financial professional must decide where to route your order. The most familiar type of execution venue is a traditional exchange. However, other execution venues, including alternative trading systems, single-dealer platforms and wholesalers, have risen in popularity in recent years.
As announced by the Board of Governors of the Federal Reserve System in the Federal Register on October 28, 2021, FINRA will collect detailed data on depository institutions’ daily transactions of marketable U.S. Treasury securities and of the debt and MBS issued by U.S. federal government agencies including government-sponsored enterprises (agencies) via its Trade Reporting and Compliance Engine
The data elements specified in Rule 7230A(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 7230A(d) information accurately and completely.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2005-087 eff. Aug. 1,
SUGGESTED ROUTING*
Legal & ComplianceOperationsRegistrationTraining
*These are suggested departments only. Others may be appropriate for your firm.
The Securities and Exchange Commission recently approved revisions to several of the NASD's qualification examinations. These changes become effective January 1, 1990. The revised examinations include the following:
Investment
SUGGESTED ROUTING*
Senior ManagementOperationsResearch
*These are suggested departments only. Others may be appropriate for your firm.
The following NASD Notices to Members were issued during the second quarter of 1988. Requests for copies of notices should be accompanied by a self-addressed mailing label and sent to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C.
I have been responsibly using leveraged ETFs as a single-digit percentage of my portfolio for almost three years now, and I personally find the notion that they now could be restricted from individual investors to be utterly outrageous. I am stuck dealing with grossly subpar investments via my pension and Social Security (while I understand the rationale for Social Security writ large), and I
The purpose of this notice is to make sure you understand and agree to the Qualification Examinations Rules of Conduct for examinations administered in test centers or remotely. You are required to agree to all of the following Rules of Conduct before starting your examination.
Testing personnel are NOT authorized to grant exceptions to any of these rules.
Personal Items
I understand and
For Your Information
National Association of Securities Dealers, Inc.
April 1989
NASD Releases Interpretive Summaries Under SEC Rule 19c-4
The NASD recently made available summaries of interpretive letters issued under Securities and Exchange Commission Rule 19c-4. That rule prohibits the major securities markets from listing companies that issue securities or take other corporate actions
Bitcoin is a popular cryptocurrency, which is a form of electronic cash, in which a ledger of all transactions is stored as a blockchain. In this article we will show how to compile your own local copy of the Bitcoin client, run it, and add custom commands in order to inspect various attributes of the underlying blockchain.
SEC Approves Amendments to TRACE Reporting Requirements and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related Fees
