The work you do is incredibly important, and we appreciate and respect your critical contributions to our shared objectives of investor protection and market integrity.
On November 8, FINRA, Deloitte and the MIT Fintech Club kicked off an innovative event aimed at leveraging fintech in service of making investors smarter and safer. The Buildathon paired industry technologists and compliance leaders with high performing technology students from MIT, Harvard and other Boston institutions for a hackathon-style competition. Teams competed in one of four challenge
Executive Summary
As of February 22, 96, the following 87 issues joined the Nasdaq National Market®, bringing the total number of issues to 4,023:
Symbol
Company
Entry Date
Level
DHSM
Diagnostic Health Services, Inc.
1/22/96
500
DHSMW
FINRA has begun disseminating individual transactions in active U.S. Treasury securities at the end of the day, raising the level of transparency in the market for these benchmark securities.
INFORMATIONAL
Nasdaq National Market Execution System
Effective Date: July 10, 2000
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Operations
Senior Management
Systems
Trading & Market Making
Nasdaq National Market Execution System
SelectNet
Small Order Execution System
Trading
Executive Summary
On January 14, 2000, the Securities and
The Cybersecurity and Cyber-Enabled Fraud topic of the 2025 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, (2) findings and effective practices, and (3) additional resources.
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of August 13, 1990, the following 35 issues joined NASDAQ/NMS, bringing the total number of issues to 2,641:
Symbol
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education—Regulatory
Element Fees
Qualification Examination Fees
Rule 1120 (Continuing Education Requirements)
Schedule A to NASD By-Laws
Executive Summary
NASD has filed for immediate effectiveness
Reduction of Reporting Times for Agency Pass-Through Mortgage-Backed Securities Traded TBA
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
As of January 21, 1993, the following 22 issues joined the Nasdaq National
Symbol
Company
Date
SOES Execution Level
INFU
Infu-Tech, Inc.
12/22/92
1000
TTRR
Tracor, Inc.
12/22/92
500
TTRRW
Tracor, Inc. (Ser A) (Wts 12/31/01)
12/22/92
500
WAMUO
Washington Mutual Sav Bk (Ser C) (Pfd) (Noncum)
12/22/92
