April 19, 2001
On May 7, 2001, the Order Audit Trail System (OATS) will be instituting functionality that provides member firms with control of who submits OATS data on firms’ behalf. This document includes instructions on to how to build a header record, as well as how to create/maintain the relationships between the firm and its Order Sending Organizations (OSOs).
With the new functionality,
Summary
FINRA seeks comment on proposed amendments to the NASD Rule 1010 Series (Membership Proceedings) (collectively, the Membership Application Program (MAP) rules). The proposal is the result of FINRA's retrospective review of the MAP rules and processes, and is intended to reduce unnecessary burdens on new and existing firms, while strengthening investor protections. The proposed
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 New York and West Regions. The nominees, nominated for a three-year term beginning in January
Good morning, welcome to Baltimore, and thank you for attending the FINRA annual conference. It’s nice to see so many familiar faces here today.
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 cominee for the National Adjudicatory Council (NAC) for the North region. The nominee, nominated for a three-year term beginning in January 2003, is listed
FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
<p>Application of Rule 2820 (h) to a non-cash compensation arrangement that excludes variable annuity contracts that are sold in exchange transactions pursuant to Internal Revenue Code Section 1035 or pursuant to a rollover transaction under Internal Revenue Code Section 402.<br />
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NASD Will No Longer Impose Censures For Some Violations
Suggested Routing
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
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Operations
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Registered Representatives
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Syndicate
<p>A partnership registering as a broker/dealer, which will be trading only for its own account, has no customers for purposes of Rule 2330(f).</p>
The effective date has been delayed to December 2, 2019
Important Note: Weekly aggregate non-ATS volume data is published on a two-week delayed basis for Tier 1 NMS stocks and a four-week delayed basis for Tier 2 NMS stocks and OTC equity securities. To align the implementation of the rule amendments for these data sets, FINRA has modified the initial publication timeframes described in footnote
