Good Morning. Thank you so much for being here with us today. I hope you will find the next two days to be a productive use of your time and that you will leave with valuable information and perhaps even some new friendships.
Member ceasing to offer retail brokerage services may use negative response letters to accomplish the bulk transfer of its retail brokerage accounts to an affiliated broker-dealer.
TO: All NASD Members
ATTENTION: Trading DepartmentsBranch Office Trading Locations
On April 1, 1982, the NASD announced the commencement of real-time transaction reporting under Schedule D of the Association's By-Laws for certain NASDAQ securities that have been designated National Market System (NMS) securities. Since inception, the Association has been monitoring transaction reporting in
Amendments to FINRA Trade Reporting and OATS Rules to Reinstitute Short Sale Exempt Marking and to Require Price and Short Exempt Identifier on Route Reports
The Supervision section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Testimony of FINRA Chairman and CEO, Richard Ketchum, Before the Subcommittee on Securities, Insurance and Investment, United States Senate
The NASD would like to thank the Subcommittee for this opportunity to testify on micro-cap fraud in the U.S. markets, the nature of the problem and our efforts to address it.
I am against the test requirement -- there are a lot of people like me who are beyond 75 years old and have experience investing in this type of investments and self-limit their investments not to go over certain limit and are NOT COMFORTABLE GIVING TESTS.
SUGGESTED ROUTING:*
Corporate FinanceGovernment SecuritiesInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
The NASD published the following Notices to Members during 1991. Duplicate copies are available at $25 per monthly or special
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Good Friday, March 28, 1986. "Regular-way" transactions made on the business days immediately preceding that day will be subject to the following schedule.
Trade Date-Settlement Date Schedule For "Regular-Way" Transactions
