As Senior Vice President, Enterprise & Financial Solutions, Carrie DiValerio is responsible for leading FINRA’s Enterprise Strategy function. In this role, she oversees the development of enterprise and department strategy through implementation of the objectives and key results framework and management of FINRA’s human capital and initiative resources. Since joining FINRA in
The Crypto Asset Developments topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
Training
Executive Summary
On July 16, 1993, the Securities and Exchange Commission (SEC) approved an NASD rule change to implement real-time trade reporting for members' over-the-counter transactions in equity securities that were not previously reportable to the NASD in this manner.1 The equity securities
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsSystemsTrading
Executive Summary
Beginning December 20, 1993, members will be required to submit to the NASD trade reports of transactions in convertible debt securities listed on Nasdaq within 90 seconds after execution. Also on December 20, 1993, members executing trades between 9 and 9:30 a.m., Eastern Time (
Suggested Routing
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Training
As of June 28, 1996, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
APSO.GA
Apple South Inc
9.750
6/1/06
CNC.GB
Conseco Inc
10.500
12/15/04
PENT.GA
Penn Traffic Company
10.250
2/15/02
INFORMATIONAL
Decimalization Testing
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
In this NASD Notice to Members you will find information on Nasdaq® adding an additional pilot phase to its decimal conversion schedule. A
As of July 28, 1994, the following 45 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,679:
Symbol
Company
Entry Date
SOES Execution Level
DSGT
Designatronics Incorporated
6/29/94
200
WCBO
West Coast Bancorp
6/29/94
200
BELW
Bellwether Exploration Company
6/30/94
200
HMNF
HMN Financial Resources
6/30/94
500
MSNS
MediSense, Inc.
6/30
New Electronic System for Submitting and Processing Company-Related Actions for Non-Exchange Listed Securities Under Rule 6490
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 5, 1987, 19 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,869. These 19 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
Proposed Rule Change Relating to FINRA Rule 4210 (Margin Requirements)
