Board Approves 2023 Annual Financial Report, Adds New Members to Advisory Committees and Hears Latest on FINRA’s Advanced Analytics Strategic Initiative
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Trading
Training
Executive Summary
On January 7, 1997, in Release No. 34-38132, the Securities and Exchange Commission (SEC) approved NASD® rules permitting the quotation of Direct Participation Programs (DPPs or limited partnerships) in the OTC Bulletin Board® Service (OTCBB) and requiring all
Supervisory activities requiring registration as an Equity Trader.<br/>
TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers ("Association" or "NASD") is publishing for comment by members and all other interested persons a proposed rule which would establish new requirements for the private securities transactions of persons associated with member firms. The rule would replace in its entirety the
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of October 24, 1997, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
FRC.GC
First Republic Bancorp Inc.
7.750
09/15/12
IPX.GA
Interpool Capital Trust
SUGGESTED ROUTING:*
Senior ManagementInternal AuditOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market System (Nasdaq/NMS) securities was established as follows:
A 1,000-share maximum order size was applied to those Nasdaq/NMS
AAccount StatementsActive Duty Military LeaveAdjudication & DecisionsAdvertising RegulationAdvisory CommitteesAlgorithmic TradingAlternative Display Facility (ADF)Annual AuditAnnual Regulatory and Examination Priorities LetterAnnual ReportsAnnuities and InsuranceAnti-Money LaunderingArbitration & MediationAsset-Backed Securities / Securitized ProductsAutomated Data Delivery System
I've been securities licensed for about two decades and thrilled to hear about this proposal to Simplify Requirements Regarding Associated Persons’ Outside Activities. I can't remember a single client ask me about any of my listed OBAs (they are not securities related) or any colleagues OBAs. I work with an advisor who filed bankruptcy and that's no longer available for clients
FINRA Reminds Firms of Sales Practice Obligations for Volatility-Linked Exchange-Traded Products
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.
