SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
The correct effective date for the requirement for daily price and volume reporting on
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
18a-3 Non-cleared security-based swap margin requirements for security-based swap dealers and major security-based swap participants for which there is not a prudential regulator.
18a-3(a) Every security-based swap dealer and major security-based swap participant for
TO: All NASD MembersAll Level 2 and Level 3 SubscribersOther Interested Persons
EXECUTIVE SUMMARY
On May 15, 1987, the Midwest Stock Exchange (MSE) will begin trading 25 NASDAQ National Market System (NASDAQ/NMS) securities under the SEC-approved National Association of Securities Dealers/Midwest Stock Exchange joint unlisted trading privileges (UTP) program. This notice explains the operation
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
In accordance with
Addressed to Yvonne Huber & Racquel Russel. Thank you both for requesting comment on Short Interest Position Reporting. I find it hopeful and positive that FINRA has acknowledged a gap in their ability to oversee Short Interest and Fail-To-Deliver Positions. In order to protect American investors (many of whom rely on equity positions ins 401Ks and IRAs to have a hope of retirement) FINRA
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education Testing/Qualifications
Legal & Compliance
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued a Firm Element Advisory, a guide for firms to use when developing their
This is a reminder that the FINRA test region (NTF) is now available for access to TRAQS using FINRA’s new Multi Factor Authorization (MFA) entitlement method. As part of its Transparency Services improvement initiatives, FINRA is introducing a new method for users to gain secure access to the TRAQS website and will be introducing a new system infrastructure.
Beginning in January 2021, FINRA
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15c3-1g Conditions for ultimate holding companies of certain brokers or dealers (Appendix G to 17 CFR 240.15c3-1).
As a condition for a broker or dealer to compute certain of its deductions to capital in accordance with § 240.15c3-1e, pursuant to its undertaking, the
