During the productionization process of our machine learning patterns, we observed variations in our model predictions and probability score outputs when executed in Spark on a distributed cluster environment. This variation in model outputs occur when model type, hyperparameters, seed value and input data are held constant. After rigorous experimentations and analysis, we determined a method
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Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
The Department of the Treasury (Treasury) is adopting final rule amendments to the Bank Secrecy Act (BSA) effective January 1, 1996. In two separate actions, Treasury is making changes that will facilitate tracing funds through the wire-transfer process. One rule
Generational wealth must not require a literacy test. Investors must not require a literacy test. Both concepts protect the firms making the investments and negate responsibility for incorrectly explaining financial consequences that may occur.
Provided are URLs (Internet addresses) to access Web CRD and the Web CRD site for Registered Representatives.
On November 15, 2021, FINRA’s Alternative Display Facility (ADF) will begin supporting timestamps up to nanosecond granularity (HH:MM:SS.sssssssss) in accordance with amendments to FINRA’s equity trade reporting rules. Please refer to FINRA Regulatory Notice 20-41 for additional information on firms’ reporting obligations under these amendments.
ADF currently supports timestamps up to
INFORMATIONAL
Conduct Of Business Abroad
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KEY TOPICS
Legal & Compliance
Operations
Registration
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Business Abroad
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) is issuing this Notice to Members as part of its continuing effort to provide members with guidance on complying with rules that govern
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MunicipalOperationsSystemsTrading
As of March 28, 1994, the following 62 issues joined the Nasdaq National Market, bringing the total number of issues to 3,571:
Symbol
Company
Entry Date
SOESSM Execution Level
CHGNF
AES China Generating Co. Ltd. (Cl A)
2/24/94
500
EFCX
Electric Fuel Corporation
2/24/94
500
GVIL
Global Village Communications, Inc.
2/24/
INFORMATIONAL
FIPS Changes
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Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
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FIPS
As of January 24, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
ACPV.GA
Advanta Corp.
7.100
10/23/00
Proposed Rule Change to Eliminate Fees for Historical Trade Data Accessed Through the FINRA ADDS Website
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 5, 1985, 100 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,569. These 100 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
