As part of its Transparency Services improvement initiatives, beginning in December 2022, FINRA will re- platform the OTC Reporting Facility (ORF) to a new Linux-based operating system. These changes will be implemented in addition to the Trade Data Dissemination Service (TDDS) protocol changes FINRA previously announced. Except for the timestamp changes listed below, all ORF trade reporting
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
LAST VOTING DATE IS MAY 23, 1986
Members of the National Association of Securities Dealers, Inc. (NASD), are invited to vote on a proposed amendment to Article III, Section 21 of the NASD Rules of Fair Practice. The proposed amendment has been approved by the NASD Board of Governors and now
2019 Involvement and Election Process Overview
Filing Guidance - Public Offering Review
ACTION REQUIRED
Mutual Fund Transactions
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Mutual Fund Sales
Operations
Senior Management
Mutual Fund Transactions
Executive Summary
Investment Company Act Rule 22c-1(a) generally requires that redeemable securities of investment companies be sold and redeemed at a price
Firms must submit fingerprints for individuals specified in Rule 17f-2 of the Securities and Exchange Act of 1934. Firms can submit fingerprint information electronically or by using hardcopy fingerprint cards.
Section C: "...short interest reports could be due by 6:00 p.m. ET one business day after the designated reporting settlement date..." In this statement, it's the data that is fixed but the frequency is dynamic. For example, if there's no short sale for 2 days then there will be a reporting gap. Consider that the reporting frequency be fixed but the content be dynamic. A daily
INFORMATIONAL
Mediation Filing Fees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registration
Senior Management
Central Registration Depository
Mediation Fees
Executive Summary
Effective February 14, 2003, NASD will begin to deduct unpaid mediation filing fees owed by member firms from members' Central Registration Depository (CRD) accounts. NASD will
SEC Approves Amendments to Rules Governing Communications With the Public
The Neutral Corner – Volume 4—2023
