The Neutral Corner - Volume 2—2023
GUIDANCE
Bond Mutual Fund Volatility Ratings
Effective Date: December 27, 2005
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Executive Representatives
Legal and Compliance
Mutual Fund
Registered Representatives
Senior Management
Bond Mutual Fund Volatility Ratings
IM-2210-5
Rule 2210
Executive Summary
On
To help members track the status of NASD®Rule filings submitted to the Securities and Exchange Commission (SEC), the NASD will publish this information bimonthly in Notices to Members.
Following is a list of Rule filings by the NASD regarding broker/dealer regulation that are pending at the SEC or recently approved. Copies of Rule filings (and any amendments), the SEC release publishing the
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the third quarter of 2022. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of December 16, 2022. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter December 15, 2022
GUIDANCEOATS Reporting RequirementsEffective Date: February 14, 2005SUGGESTED ROUTINGKEY TOPICSInternal AuditLegal & ComplianceOperationsSenior ManagementSystemsTradingOATSRule 6954(c)Executive SummaryOn September 17, 2004, the Securities and Exchange Commission (SEC) approved amendments to Rule 6954(c) to require that electronic communication networks (ECNs) that electronically receive
In observance of Christmas Day, FINRA’s Market Transparency Reporting Systems will be closed on Friday, December 24, 2021. Affected applications include:
Alternative Display Facility (ADF)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed interface specifications,
Regulators to Discuss Protecting Seniors During World Elder Abuse Awareness Day
WASHINGTON—The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA) and FINRA will be co-hosting the Senior Safe Act Webinar: Identifying and Reporting Suspected Exploitation. The discussion will build on the SEC, NASAA and FINRA’s joint training released in 2021
On This PageEligibility CriteriaResponsibilitiesFirm or Identity Provider (IdP)FINRA or Service ProviderIntegration RequirementsCertificate HandlingSupported ProtocolIdP Entity IdEmail DomainAuthentication FlowSAML2 Details SP MetadataNameId FormatBindingsAttributesSP Message Algorithms:GlossaryEligibility CriteriaYou must be a firm or other type of organization approved by FINRA for SSO
What does Ombuds mean? Ombuds is a term originating from Sweden and means representative. The International Ombuds Association describes an ombuds as “one who assists individuals and groups in the resolution of conflicts or concerns.”
