FINRA Grants Additional, Temporary Relief from the Net Capital, Reserve Formula, Non-purpose Loan, and Maintenance Margin Requirements Applicable to Credit Extended on Auction Rate Securities to Broker-Dealers That Agree to Buy Back Auction Rate Securities; Effective Date: November 4, 2008
The guidance provided in this FAQ pertains to the reporting of over-the-counter (OTC) transactions in equity securities to a FINRA Facility (a Trade Reporting Facility (TRF), the Alternative Display Facility (ADF) or the OTC Reporting Facility (ORF)).
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Discretionary Accounts and Transactions
For firms with test candidates using company-issued equipment on their corporate networks to take their exams online, your firm's technology team should be consulted about what it will take to ensure that the ProProctor application will successfully run on the day of the candidate's exam.
Please note that Prometric's ProProctor
Rule Filing Status As Of July 7, 1999
NASD Rule Filing Status
The following is a list of rule filings by the National Association of Securities Dealers, Inc. (NASD® or Association) that are either pending at the Securities and Exchange Commission (SEC) or recently have been approved by the SEC and have not been announced in a Notice to Members. The information is current as of July 7,
SUGGESTED ROUTING
Senior ManagementInternal AuditLegal & ComplianceOperationsSystems
Executive Summary
On May 18, 1993, the Securities and Exchange Commission (SEC) issued a no-action letter that permits broker/dealers to use optical storage technology(OST) to comply with the records retention requirements of SEC Rules 17a-3 and 17a-4. The letter, which was issued by the SEC
Funding and Liquidity Risk Management Practices
TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the first quarter of 1983. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.
Notice Number
Date
Topic
83-1
January 6, 1983
Real-Time Transaction
First of all, stop pretending like Finra doesn't know how corrupt and rigged the Stock Market is especially given the fact that Finra facilitates and encourages such behavior at the expense of the retail investor. Yes, Finra facilitates and encourages such behavior contrary to the statements made on their "About" page which I will provide some examples as proof. 1) Fail-to-deliver
First of all, stop pretending like Finra doesn't know how corrupt and rigged the Stock Market is especially given the fact that Finra facilitates and encourages such behavior at the expense of the retail investor. Yes, Finra facilitates and encourages such behavior contrary to the statements made on their "About" page which I will provide some examples as proof. 1) Fail-to-deliver
