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GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal and ComplianceOperationsRegistered RepresentativesSenior ManagementTrading
IM-6660-1NASD Rule 6660OTC
Equity SecuritiesQuotationsTrading Halts
OTC Equity Trade and Quote Halt Codes
Executive Summary
On December 18, 2006, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 6660 to expand the scope of NASD's authority
FINRA does not regulate mutual funds directly, but regulates the broker-dealers and registered representatives that sell mutual funds. In this capacity, FINRA enforces rules on mutual fund advertising, sales practices, including the sales loads that broker-dealers may charge, the incentives provided to registered representatives and the execution of mutual fund portfolio transactions.
Protection of financial and personal customer information is a key responsibility and obligation of FINRA member firms. Under the SEC’s Regulation S-P, firms are required to have policies and procedures addressing the protection of customer information and records. This includes protecting against any anticipated threats or hazards to the security or integrity of customer records and information
Investment professionals and firms are welcome to leverage and amplify investor education resources from FINRA and other trusted organizations through your own communications channels, such as newsletters, websites and social media.
FINRA has launched an online advertising campaign, Get Your Head in the Trade, encouraging new investors to understand investment risks and rewards as well as their own financial goals and risk tolerance before making an investment decision.
Summary
FINRA is soliciting comment on a proposal to amend Rule 6730 to reduce the Trade Reporting and Compliance Engine (TRACE) trade reporting timeframe for transactions in all TRACE-Eligible Securities that currently are subject to a 15-minute reporting timeframe. Specifically, members would be required to submit a report to TRACE as soon as practicable (as is currently the case), but no
Summary
FINRA requests comment on a proposal to expand the alternative trading system (ATS) volume data that it publishes on its website to include information on transactions in corporate bonds and agency debt securities that occur within an ATS and are reported to FINRA’s Trade Reporting and Compliance Engine (TRACE).
Questions concerning this Notice should be directed to:
Chris Stone,
December
Total Trades
Total Par Value (000s)
Average
Daily Trades
Average Daily
Par Value (000s)
CORP
1,256,831
559,829,535
59,849
26,658,549
CONV
26,011
22,214,350
1,239
1,057,826
CHRC
1,337
25,015
64
1,191
ELN
15,226
1,893,991
725
90,190
AGCY
40,445
85,
