(a) Each member that is a party to an arbitration in which more than $25,000, exclusive of interest and expenses, is in dispute must pay a non-refundable process fee, due at the time the parties are sent arbitrator lists in accordance with Rule 12402(c) or Rule 12403(b), as set forth in the schedule below.
Process Fee Schedule
Amount of Claim
(exclusive of interest and
This data provides market activity as of end of day for structured products, based on transactions reported to TRACE. Tables of aggregated price levels are organized by product type.This end-of-day service represents the full asset- and mortgage backed securities markets and is derived using only actual transacted prices from TRACE, the U.S. over-the-counter bond market mandated regulatory
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
Training
Executive Summary
On July 16, 1993, the Securities and Exchange Commission (SEC) approved an NASD rule change to implement real-time trade reporting for members' over-the-counter transactions in equity securities that were not previously reportable to the NASD in this manner.1 The equity securities
Technology has long played a central role in financial services innovation. It continues to do so today as many firms in the securities industry introduce new digital investment advice tools to assist in developing and managing investment portfolios. FINRA undertook a review of selected digital investment advice tools to assess these developments.
The observations and practices in this report
This request for exemptive relief is granted based on the Firm's representation that the Contributions were made prior to the individual's employment with the Firm, and that the individual was never engaged in municipal securities business, as defined by MSRB Rule G-37 ("Rule"), and the individual has never solicited municipal securities business from the City or City agencies of whom the Contribution recipients are issuer officials. The Firm agreed to institute certain information barriers, the individual will, for a period of time, be prohibited from soliciting municipal securities business as defined by the Rule, and the individual may not receive any compensation derived directly or indirectly from municipal securities business from City or certain City agencies for a period of time.
Executive Summary
Due to the recent tragic events resulting from Hurricane Katrina, NASD is aware that members with offices in the affected areas are concerned with a number of regulatory and compliance issues. In this regard, NASD is providing guidance on these issue, including guidance on emergency office relocations, continuing education requirements for registered personnel, registered
GUIDANCE
Appeals of Qualification Examination Waiver Requests
Effective Date: September 1, 2004
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
National Adjudicatory Council
Qualifications Examinations
Rule 1070
Rule 9600 Series
Executive Summary
On July 27, 2004
The Financial Industry Regulatory Authority, Inc. (“FINRA”) provides investor education content, security-specific product data (described below) and publicly disseminated trade report on transactions in TRACE-eligible, fixed income securities through the bond facts tool. The data accessed through the tool and the bond facts tool are herein after referred to as the “Bond Facts Tool".
INFORMATIONALSanction GuidelinesSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceRegistered RepresentativesSenior ManagementDeterrence of Future MisconductNASD Sanction GuidelinesExecutive SummaryThis Notice advises NASD members of modifications to the NASD Sanction Guidelines (Guidelines). NASD is modifying General Principles Nos. 1 and 3 of the Guidelines to
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Good Friday, April 1, 1983. "Regular-Way" transactions made on the business days immediately preceding that day will be subject to the following schedule.
Trade Date-Settlement Date Schedule For "Regular-Way" Transactions
Trade
