The purpose of this Election Notice is to notify firms of the elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
TO: All NASD Members and NASDAQ Level 2 and Level 3 Subscribers
An additional 50 issues will voluntarily join NASDAQ's National Market System on August 23 and another 50 will join September 20. This will bring the total number of NMS securities to 522. (An additional 43 securities are mandated to join NMS on August 9.) These 100 securities meet the SEC's criteria for voluntary
FINRA is committed to maintaining secure applications and infrastructure as we strive to protect the data we handle. We wish to encourage security researchers to report vulnerabilities in order to help us keep our enterprise and data safe.
FINRA announced today that it has fined Morgan Stanley Smith Barney LLC $1.6 million for the firm’s repeated failures to timely close out failed inter-dealer municipal securities transactions and to take prompt steps to obtain physical possession or control of municipal security positions that are short more than 30 calendar days, and related supervisory failures.
Summary
In 2019, the Securities and Exchange Commission (SEC) adopted amendments1 that revise certain of the Financial and Operational Combined Uniform Single (FOCUS) reporting and annual report requirements that apply to brokers and dealers pursuant to SEA Rule 17a-52 to take account of security-based swap (SBS) activity. Further, as a result of these changes, to
FINRA Requests Comment on Proposed Amendments to FINRA Rule 5110 Regarding Deferred Compensation Arrangements in Public Offerings
ACTION REQUIRED
Electronic Communications Networks
Changes Effective: November 10, 2003
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Senior Management
Transaction Reporting
Electronic Communication Networks
Executive Summary
NASD is issuing this Notice to replace and
See Nasdaq Head Trader Alert 2003-140 at: www.nasdaqtrader.com/dynamic/newsindex/headtraderalerts_2003.stm
ACTION REQUIRED
Electronic Communications Networks
Changes Effective: October 6, 2003
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Senior Management
Transaction Reporting
I am a retail and self-directed investor mainly trading and investing in US listed leverage & inverse ETFs and associated exchange traded options. I am also a finance professional with work experiences in investment advisory on vanilla and structured products, including equities, fixed income, interest rates and currencies, in overseas jurisdictions outside of the US, and hold MBA and CFA
TRACE research performed up until this point has been done on an independent basis by academics and researchers who used objective methodology in order to achieve their conclusions. These studies have concentrated on United States-based corporate bond data and what, if any, the impact of TRACE has been on liquidity and transparency.
