Geetha Ramachandran has spent her entire career working in the technology industry, and she’s passionate about innovation and finding solutions to complex problems. At FINRA, she leads teams in building and delivering enterprise solutions with a focus on automation and development operations. In part one of the three-part series, Tech Journeys: Women in Technology & the Evolution of the Industry, Geetha gives us a snapshot of her personal technology journey and how she’s kept up with innovations.
Staff in FINRA’s Regulatory Review and Disclosure unit must review and approve all proposed names for firms applying for FINRA membership and for current FINRA member firms seeking a name change. A firm may reserve a name by submitting a completed Firm Name Reservation Request Form.Note: FINRA does not research names for use as Doing Business As (DBA) in states, and the Firm Name
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Executive Summary
The Securities and Exchange Commission (SEC) recently adopted Rule 15c6-1 under the Securities Exchange Act of 1934 to establish three business days, instead of five, as the standard settlement time-frame
(a) If an ADF Trading Center does not achieve certain thresholds of both its Projected Average Transaction Volume and its Certified Peak Transaction Volume in one or more categories on one or more days in a given calendar month, the following shortfall capacity usage fees will apply:
For Projected Average Transaction Volume:
Level
Percentage Shortfall
1 – 2 days
3 – 5 days
6 – 10
Executive Summary
Effective April 1, 1996, tier sizes for 1,024 Nasdaq National Market securities will be revised in accordance with Paragraph 2451a7 of the Rules of Practice and Procedure for the Small Order Execution System (SOESSM).
For more information, please contact Nasdaq Market Operations at (203) 378-0284.
TO: All NASD Members and Other Interested Persons
The following are NASD Notices to Members issued during the fourth quarter of 1986, and the first and second quarters of 1987. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506
Fourth Quarter—1986
Notice Number
In 2002, FINRA Dispute Resolution became concerned about the length of time it takes to resolve arbitrations involving senior or seriously ill parties.
Summary
FINRA is issuing this Notice to remind member firms of their obligations during extreme market conditions with respect to handling customer orders, maintaining appropriate margin requirements and effectively managing their liquidity.
Questions concerning the best execution guidance discussed in this Notice should be directed to:
Patrick Geraghty, Vice President,
This conference comes at an important time, in the aftermath of a very difficult period. If we look back to the summer and fall of 2008, every time we thought conditions in the financial sector couldn't get worse, they did, and we ultimately came to the brink of a global market meltdown.
