SR-FINRA-2008-040 - Proposed Rule Change Relating to Elimination of the Requirement to Report Yield to TRACE and Addition of Yield Calculated by TRACE System in Disseminated Data
(a) The term "Clearing Broker-Dealer" or "Clearing Broker" shall mean the member firm that has been identified in the System as principal for clearing and settling a trade, whether for its own account or for a correspondent firm.
(b) The term "Correspondent Executing Broker-Dealer" or "Correspondent Executing Broker" shall mean the member firm that has
(a) Locked-in trades may be determined in the System by matching the trade information submitted by the Reporting Parties through one of the following methods:(1) Trade by Trade MatchBoth parties to the trade submit transaction data and the System performs an on-line match;(2) Trade AcceptanceThe Reporting Party enters its version of the trade into the System and the contra party reviews the
The Crypto Asset Developments topic of the 2024 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 and related considerations, (2) findings and effective practices, and (3) additional resources.
A financial professional designation is like a certification or credential. They’re different from registration or licenses. This bulletin can help investors better understand the professional designations financial professionals might use.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 2, 1988, the following six issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,040:
Symbol*
Company
Location
AIMG
GUIDANCEShort Sale RequirementsSUGGESTED ROUTINGKEY TOPICSInternal AuditLegal & ComplianceOperationsRegistered RepresentativesSenior ManagementSystemsTradingTrainingOATSRule 3110Rule 3210Rule 3350Rule 3370Rule 11830Rules 6950–6957Short SalesExecutive SummaryOn June 23, 2004, the Securities and Exchange Commission (SEC) adopted certain provisions of a new short sale regulation, designated
Executive Summary
To help members comply with the Free-Riding and Withholding Interpretation of the NASD Board of Governors (Free-Riding Interpretation), on May 13, 1996, the NASD will initiate a new regulatory service called "Compliance Desk." The NASD believes that Compliance Desk will give members timely notification of hot issues that are subject to NASD regulatory review, and
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of March 22, 2002, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ARGI.GE
American Restaurant Group Inc
As a retail investor, I think it is so important to get accurate data. With the amount of fines and rules that have been broken by brokers, we cannot allow for a self-reporting system to continue. We need massive overhauls in our system and it starts with having accurate information, especially when it comes to short interest.
