FINRA Requests Comment on a Revised Proposal Requiring Confirmation Disclosure of Pricing Information in Corporate and Agency Debt Securities Transactions
SUGGESTED ROUTING
Senior Management
Executive Representatives
Institutional
Internal Audit
Legal & Compliance
Operations
Research
Systems
Executive Summary
The Securities and Exchange Commission (SEC) is soliciting comment on temporary rule amendments to SEC Rule 17a-5
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Blue Sheets
Executive Summary
This Notice to Members reminds members of their reporting requirements concerning the automated submission of trading information via the Electronic Blue Sheet (EBS) System and provides information on the validation of certain
ACTION REQUIRED
Expense-Sharing Agreements
SUGGESTED ROUTING
KEY TOPICS
Accounting
Executive Representatives
Internal Audit
Legal & Compliance
Operations
Senior Management
Expense-Sharing Agreements
Net Capital
Recordkeeping
SEC Rule 15c3-1
SEC Rules 17a-3, 17a-4, and 17a-5
Executive Summary
On
Good afternoon and thank you for the invitation to join you this afternoon.
SUGGESTED ROUTING
Senior ManagementInstitutionalOptionsTrading
Effective July 11, 1994, tier sizes for 500 Nasdaq National Market (NNM) securities will be revised in accordance with ¶2451a7 of the Rules of Practice and Procedure for the Small Order Execution System (SOESSM).
Under the revised SOES rules (see Special Notice to Members 94-1 January 5, 1994), the maximum order-execution
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a new Section 46, Article III of the Rules of Fair Practice regarding adoption of a short-sale rule or "bid test
SUGGESTED ROUTING*
Senior Management
Internal Audit
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum SOES order size for all NASDAQ National Market securities was established as follows:
A 1,000-share
Supervision Frequently Asked Questions (FAQ)
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
Executive Summary
On April 11, 1994, The Nasdaq Stock Market Inc., began operation of the Fixed Income Pricing SystemSM known as FIPSSM for members trading high-yield bonds. FIPS was created to facilitate the over-the-counter trading of
