This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
This Interpretive Material sets forth a membership waive-in process for certain NYSE Alternext US LLC ("NYSE Alternext") member organizations to become members of FINRA as part of the acquisition by NYSE Euronext of the Amex Membership
This Interpretive Material sets forth a membership waive-in process for certain NYSE American LLC ("NYSE American") member organizations to become members of FINRA as part of the acquisition by NYSE Euronext of the Amex Membership Corporation. It applies to any NYSE American member organization that (i) holds a valid 86 Trinity Permit as of the date such firm transfers its equities
This page provides a comprehensive collection of rules governing communications with the public and advertising practices for FINRA member firms. These include FINRA communications rules as well as relevant SEC, MSRB and SIPC advertising regulations.FINRA Communications and Disclosure Rules2210. Communications with the Public2211. Communications with the Public About Variable Life Insurance and
FINRA's Cyber Crimes Conference (C3), formerly our Cybersecurity Conference, is a one-day event designed to help you stay current on cybersecurity challenges, understand vulnerabilities and create resilience against cyber-attacks.
The Subscriber Manual is a companion document to the OATS Reporting Technical Specifications.
Please be aware the following Nasdaq infrastructure changes will affect all TRACE FTP subscribers.
NASDAQ will change the VPN concentrator address and the secure FTP server address effective Friday, May 13, 2005. Your firm will have a two-month parallel period to test and reconfigure your client to the new addresses. In order to make this a seamless transition for your firm, we are
The Securitized Products Capped Volume Report provides additional information on disseminated transactions whose size was subject to TRACE dissemination caps. The report shows average size (in millions) of capped transactions for Securitized Products reported to TRACE. The data is grouped into sub product categories including: TBA (Good Delivery and Non-Good Delivery), MBS, and ABS.
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SEC Rule 606(a) requires broker-dealers that route equity and option orders on behalf of customers to prepare quarterly reports that disclose specific information about their order routing practices for non-directed orders in NMS stocks and NMS securities that are options contracts. The reports are published as PDFs and XML files for each calendar quarter. Data is collected from firms at the end
An insurance agent is a salesperson who can help individuals and companies obtain life, health or property insurance policies and other insurance products including different types of annuities. Every state, along with the District of Columbia and U.S. territories, has an insurance commission that licenses insurance agents.
FINRA’s Cybersecurity Half-Day Seminars provide attendees with information on the fundamentals of cybersecurity, help organizations understand vulnerabilities and threats related to cybersecurity, create resilience against cyber-attacks, and discuss effective practices for and handling issues related to cybersecurity.
The seminars are designed for compliance and cybersecurity professionals at
