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
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
GUIDANCEOnline Arbitration Claim Filing SystemEffective Date: August 5, 2004SUGGESTED ROUTINGKEY TOPICSLegal and ComplianceArbitrationArbitratorsDispute ResolutionExecutive SummaryThe Securities and Exchange Commission (SEC) has approved amendments to Rule 10314 of the NASD Code of Arbitration Procedure (Code) to allow parties to complete part of the arbitration claim filing process
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
IM-5100
IM-6130
Rule 3360
Rule 4632
Rule 5100
Rule 6130
Rule 9610
Short Exempt Marking Requirements
Short Sales
TRF Trade Reporting
Short Sale Requirements
Executive Summary
NASD is issuing this Notice to advise firms and other
Background
A large number of registered representatives are also Certified Financial PlannerTM (CFP®) professionals. These professionals must complete a minimum of 30 continuing education (CE) hours every two years as part of the requirements for CFP certification renewal. Through the FINRA360 process, a number of firms expressed a desire for improved opportunities
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 (
Eric Pickersgill, Senior Vice President and Chief Information Security Officer (CISO), oversees FINRA’s Cyber and Information Security program. Mr. Pickersgill is a technology leader and subject matter expert in information security, cloud computing, risk management and IT governance with immense experience supporting Fortune 500 companies and federal agencies.
Before joining FINRA in June 2020
INFORMATIONAL
Quotation Reporting
Effective Date: June 27, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Technology
Trading And Market Making
Market Making
OTC Securities
Recording And Reporting Quotation Data
Executive Summary
On March 27, 2003, the Securities and
TO: All NASD Members and Level 2 and Level 3 Subscribers
Another 34 issues are scheduled to join the NASDAQ National Market System on Tuesday, October 18, making the total issues in NASDAQ/NMS 1,105. These 34 securities, which will begin trading under real-time trade reporting, meet the Securities and Exchange Commission's criteria for voluntary designation.
The 34 issues scheduled to join
July 29, 2020FINRA President and CEO Robert Cook and Vice President and Deputy of Member Relations and Education Kayte Toczylowski were joined by FINRA senior staff to discuss recent updates, including the new FAQ about exemption reporting under SEA Rule 15c3-3, how to adjust supervisory systems to a remote work environment, and recent guidance on retail communications concerning private
