In conjunction with the UTP Operating Committee (UTPOC) and Consolidated Tape Authority (CTA), FINRA will begin disseminating odd lot transactions via the Trade Data Dissemination Service (TDDS) on or about October 7, 2013.
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-
The Series 9 and 10 exams — General Securities Sales Supervisor Qualification Exams (SU) —assess the competency of an entry-level principal to perform their job as a general securities sales supervisor.The exams measure the degree to which each candidate possesses the knowledge needed to perform the critical functions of a general securities sales supervisor, including the approval of customer
Please do not take away my ability to make my own investment choices. My ability to choose my investments should be mine, not regulators. Leveraged and inverse funds should be available to all investors, not just the wealthy.
I should not have jump through hoops to be able to choose my own investments. Leveraged and inverse funds all have a warning about their volatility that is easy to see
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 15, 1988, the following 11 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,996:
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FINRA is providing these Frequently Asked Questions about its 529 Plan Share Class Initiative (the “Initiative”) in response to a number of inquiries it has received from firms and trade associations. In order to allow firms sufficient time to consider the additional information provided here and to provide firms more time to review their supervisory systems and procedures with respect to 529
<p>Application of Rule 2320(g) and Rule 3110(b) to quotations displayed in the Electronic Quotation Service (prior to the adoption of proposed Rule 6630).</p>
FINRA has updated the SLATE Participant Specifications. Please email FINRA Client and System Management with questions regarding this notice.
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
