NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Interpretative Material 8310-2 ("IM-8310-2") to give NASD authority to release to the public, in unredacted form, information with respect to any decision issued by the National Adjudicatory Council ("NAC") pursuant to Rule 1015.
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
The Department of the Treasury's (Treasury) amendments to the Bank Secrecy Act (BSA), which facilitate tracing funds through the funds transmittal process, became effective May 28, 1996. For transmittals of funds of $3,000 or more, broker/dealers are
SummaryThe purpose of this Election Notice is to notify FINRA mid-size firms of a contested election for a mid-size firm seat on the National Adjudicatory Council (NAC) and the distribution of ballots. The two open large firm NAC member seats are not contested; therefore, no election will be held for the large firm seats.Voting concludes in the NAC mid-size firm seat election on December 15, 2023
Executive Summary
Effective October 1, 1996, tier sizes for 591 Nasdaq National Market® securities will be revised in accordance with NASD Rule 4710(g) [formerly ¶ 2451a7 of the Rules of Practice and Procedure for the Small Order Execution System (SOES)].
For more information, please contact Nasdaq Market Operations at (203) 378-0284.
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On January 14, 1998, the Securities and Exchange Commission (SEC) approved changes to National Association of Securities Dealers, Inc. (NASD®) Rule 11890 regarding the handling of clearly erroneous transactions. 1 The NASD and The Nasdaq Stock MarketSM (Nasdaq®)
Executive Summary
Effective July 1, 1996, tier sizes for 728 Nasdaq National Market securities will be revised in accordance with NASD Rule 4710(g) (formerly Paragraph 2451a7 of the Rules of Practice) and Procedure for the Small Order Execution System.
For more information, please contact Nasdaq Market Operations at (203) 378-0284.
I’d like to voice my support for Short Interest Position Reporting Enhancements. In today’s digital market and environment, information is the most valuable resource retail investors (and others) can have to make responsible decisions with their finances. More frequent and accurate reporting are important… as well as penalties for non-reporting that are MORE punitive than the potential gain from
On May 12, 2014 FINRA filed for immediate effectiveness SR-FINRA-2014-024 with the Securities and Exchange Commission ("SEC").
FINRA’s Board of Governors met on September 13-14 in Philadelphia. In addition to continuing discussions around FINRA’s Regulatory Operations, the Board reaffirmed FINRA’s Financial Guiding Principles.
OverviewThis publication outlines emerging insider threat risks and helps member firms identify, prevent, detect, and respond to these threats, including:identifying how insider threats can occur at firms, and what factors may indicate that these attacks are on the rise;providing a summary of core controls and effective practices firms may consider when evaluating their insider threat programs,
