(a) Compliance with Quoting and Trading Restrictions
(1) Member Compliance
Members shall establish, maintain and enforce written policies and procedures that are reasonably designed to comply with the applicable quoting and trading requirements of the Plan.
(2) FINRA Compliance
FINRA systems will not display quotations in violation of the Plan and this Rule.
(3) Pilot Securities That Drop
On-Demand Recording: Phone-In Workshop and WebEx Presentation;
Original Program Date: April 6, 2017
The FINRA Test Facility (NTF) is now available for testing all FINRA Multi Product Platform (MPP) products.
Please contact FINRA Operations or call (866) 776-0800 with questions regarding this notice.
PLEASE NOTE: 144A Data is included within the definition of “Systems” in Vendor Agreement v.7.1
(a) Notice of Pre-Use Filing Requirement
Pursuant to Rules 2210(c)(1)(B) and 2220(c)(2), FINRA staff may issue a written notice requiring a member to file communications with the FINRA Advertising Regulation Department at least ten days prior to use if FINRA staff determines that the member has departed from the standards of Rule 2210 or 2220.
(b) Service of Notice of Pre-Use Filing
For Your Information
National Association of Securities Dealers, Inc.
May 1989
Test Site Changes for May in Kansas, New York, Georgia, and Florida
New PLATO Test Centers in Kansas
Effective May 1, 1989, Control Data PLATO Development Centers began operating at the following locations:
Farmers State Bank Building, 718 MainStreet, Suite 202, Hays, KS 67601 (913) 232-1690.
Epic Office
Chairman Sarbanes, Ranking Member Gramm, members of the Senate Banking Committee, thank you for this opportunity to testify today on the vital, troubling and timely issues of investor protection and accounting highlighted by the collapse of Enron. It would be hard to overstate the human tragedy for Enron’s employees, pension-holders and investors caused by the failure of America’s seventh largest company.
FINRA's Enforcement Department is conducting a review of broker/dealers that provide Direct Market Access, Naked Access, Electronic Access or Sponsored Access ("DMA") to their customers.
TO: All NASD Members and NASDAQ Level 2 and Level 3 Subscribers
An additional 50 issues will voluntarily join the NASDAQ National Market System on October 18, bringing the total number of NMS securities to 571. These 50 issues meet the SEC's criteria for voluntary designation, which include average monthly trading volume of 100,000 shares and a minimum bid price of $5.
The 50
Rubyna Haslani Zito is a Senior Vice President of Technology Operations and Services and the Chief of Staff to the CIO at FINRA (Financial Industry Regulatory Authority). She manages Technology Operations and Services that include Technology Compliance Office, Training, Communications, Reporting, Space planning and redesign, as well as financial planning and budgeting. Her responsibilities as
