(a) GeneralExcept as otherwise provided by paragraph (b) of this Rule, each general securities member shall, with a frequency of not less than once every calendar quarter, send a statement of account ("account statement") containing a description of any securities positions, money balances, or account activity to each customer whose account had a security position, money balance, or
Summary
FINRA is issuing this Notice to remind members of their obligation to have systems or processes in place to determine whether a transaction in a TRACE-Eligible Security has occurred and is, therefore, reportable, even if it was not included on the TRACE security master list at the time of the transaction. In those circumstances, members should contact Market Operations to add the TRACE-
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Executive Summary
Schedule D and Schedule H of the NASD By-Laws require members to respond to regulatory requests for trading data by using a standardized automated format. In Notice to Members 93-26 (April 1993), members were urged to take immediate action to ensure the timeliness, accuracy, and completeness of
Data Definitions for Treasury Securities Trade Activity. Data fieldDefinitionAggregate Indicator Aggregate Indicator field identifies if a transaction is eligible for the Treasury aggregate statisticsY - Aggregate EligibleN - Not eligible for the Aggregates As Of IndicatorThis field will be populated if the transaction being reported is an As/Of trade, Reversal, Cancel
The FINRA qualification and registration requirements are set forth in FINRA Rules 1210 through 1240.1 These rules, among other things: (1) require the registration of individuals as representatives or principals; (2) allow for the permissive registration of associated persons of firms; (3) establish a waiver program for individuals working for a financial services industry affiliate of a member
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
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The National Association of Securities Dealers, Inc. (NASD®)
SummaryTo assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2025 or the first quarter of 2026. FINRA reminds members that all such filings they submit to FINRA must be made electronically
