SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Mutual Fund
Operations
Systems
Trading
Executive Summary
On March 17, 1995, the Securities and Exchange Commission (SEC) approved the NASD's amendments to Sections 5, 6, 12,46, and 64 of the Uniform Practice Code (the UPC) and Sections 1 and 26 of the Rules of Fair Practice (the RFP) to conform the NASD
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On December 13, 1991, the Securities and Exchange Commission (SEC) approved amendments to Schedule C of the NASD By-Laws relating to the premembership interview process for applicants for NASD membership. The
In 2022, FINRA developed an enterprise-wide strategy to ensure preparation for an evolving crypto asset regulatory landscape with the creation of the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team. On this episode, which originally aired in August 2023, we learn more about the strategy and the role of the Hub.
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceInstitutionalSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
In a report titled "Clearance and Settlement Systems in the World's Securities Markets," a private-sector group published nine recommendations proposing standards for clearance and settlement of
Retrospective Rule Review
Comment Period Expires: May 14, 2015
Regulatory Notice
Notice Type
Request for Comment
Suggested Routing
Compliance
Legal
Operations
Registered Representatives
Senior Management
Systems
Key Topics
Continuing Membership
Regulatory Notice
Notice Type
Guidance
Key Topic(s)
Form U4
Registration
Suggested Routing
Compliance
Legal
Operations
Registered Representatives
Registration
Senior Management
FINRA Registration via Form U4
Executive Summary
FINRA reminds member firms that when an associated person of a member is registered with another SRO in a registration category recognized by FINRA, the member
When used in these By-Laws, unless the context otherwise requires, the term:
(a) "Act" means the Securities Exchange Act of 1934, as amended;
(b) "Board" means the Board of Directors of FINRA Regulation;
(c) "broker" shall have the same meaning as in Section 3(a)(4) of the Act;
(d) "Commission" means the Securities and Exchange Commission;
(e) "
Beginning September 30, 2009, FINRA will publish on its Web site a Monthly Short Sale Transaction File to provide public access to certain transaction data, including transaction times, price, and number of shares for every short sale transaction in an NMS stock. FINRA also will begin publishing a Daily Short Sale Volume File in the fourth quarter of 2009, which will provide aggregate daily short
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
INFORMATIONAL
NAC Nominees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to announce the nominees for the National Adjudicatory Council (NAC) for the West Region and New York Region. The nominees, nominated for two-year terms beginning in
