<p>NASD Rule 2110 and NYSE Rule 402.30—Partial Redemption Allocations and Disclosure Practices in Auction Rate Securities</p>
Comment Period Expires: May 17, 1995
SUGGESTED ROUTING
Senior Management
Debt Department
Equity Department
Government Securities
Institutional
Legal & Compliance
Trading
Executive Summary
The NASD requests member comment on a proposed Interpretation of the NASD Board of Governors to Article III, Section 2 of the NASD Rules of Fair Practice (RFP). The
(a) Mandatory Participation for Clearing Agency Members
(1) Participation in the System is mandatory for any member that has an obligation to report an over-the-counter transaction to FINRA, unless the member has an alternative electronic mechanism pursuant to FINRA rules for reporting and clearing such transaction. Such participation in the System shall include the reconciliation of all over
(a) Documents to be Available for Inspection and Copying
(1) Unless otherwise provided by this Rule, or by order of the Hearing Officer, the Department of Enforcement shall make available for inspection and copying by any Respondent, Documents prepared or obtained by Interested FINRA Staff in connection with the investigation that led to the institution of proceedings. Such Documents
(a) Mandatory Participation for Clearing Agency Members
(1) Participation in the System is mandatory for any member that has an obligation to report an over-the-counter transaction to FINRA, unless the member has an alternative electronic mechanism pursuant to FINRA rules for reporting and clearing such transaction. Such participation in the System shall include the reconciliation of all over
As you may know, the consolidation of NASD and NYSE Member Regulation into a single self-regulatory organization, the Financial Industry Regulatory Authority (FINRA), became effective July 30, 2007. Below is an overview of how this consolidation will impact the reporting process for OATS users:
Email users – must obtain new email encryption certificate and send to a new email address
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the first quarter of 2023. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of June 23, 2023. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter June 22, 2023 as the
SEC Approves Exception to Three Quote Rule and Related Recordkeeping Requirements for Certain Foreign Securities
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Senior Management
Advertising
Legal & Compliance
Mutual Fund
Training
Executive Summary
The obligation of NASD® members under the Rules of Fair Practice with respect to mutual fund sales practices is a continuing concern of the NASD. The proliferation of new mutual funds and varied fee structures has significantly increased the options available for
FINRA Requests Comment on a Proposal to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
