TO: All NASD Members and NASDAQ Level 2 and Level 3 Subscribers
The National Market System will expand to 329 securities on June 21 when 50 more NASDAQ issues are voluntarily added to the 279 securities already trading on the System.
These 50 securities meet the SEC's criteria for voluntary designation, which include an average monthly trading volume of 100,000 shares and a minimum bid
The Cybersecurity and Technology Governance section of the 2021 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
TO: All NASD Members and Other Interested Persons
BACKGROUND
The securities industry, in late 1983, asked the North American Securities Administrators Association (NASAA) to review the registration delays resulting from agent transfers between broker-dealers. After extensive deliberations by the NASAA/CRD Committee and its NASD advisors, a Temporary Agent Transfer program was developed by the
WASHINGTON—FINRA announced today the launch of FINRA Forward, a series of initiatives to improve its effectiveness and efficiency in pursuing its mission. The Three FINRA Forward initiatives:Modernizing FINRA Rules. FINRA is conducting a broad review of its rules to modernize requirements, facilitate innovation and eliminate unnecessary burdens. Empowering Member Firm
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of June 26, 1992, the following 47 issues joined the Nasdaq National Market, bringing the total number of issues to 2,900:
Symbol
Company
Date
SOES Execution Level
TDSRF
3-D Systems, Inc. (Rts)
5/27/92
1000
MSYSW
Medical Technology
The Neutral Corner – Volume 1—2025Mission StatementElectronic Expense Reports Revisited by Makenzie Holahan, FINRA Associate Regional ManagerFINRA Dispute Resolution Services (DRS) and FINRA NewsArbitration Case Filings and TrendsFINRA Adopts Amendments to Rule 12800 (Simplified Arbitration) to Clarify and Amend the Applicability of the Document Production ListsFINRA Adopts Amendments to
This page provides electronic access to materials for registered attendees of the 2019 FINRA New York Region Member Forum. Materials are also available electronically via the conference app. Please check back regularly as we continue to add session materials; all materials will be posted by the start of the conference.
Session Materials
Thursday, December 12, 2019
9:00 a.m. – 9:05 a.m
Board Approves Rule Proposal to Shorten the Securities Settlement Cycle to T+1 Consistent with Recent SEC Rule Changes, and Allocation of 2022 Fine Monies
WASHINGTON—FINRA’s Board of Governors met on March 9-10 for the first time in 2023. The board approved a rule proposal to amend FINRA rules to conform to the SEC’s rule changes to shorten the securities settlement cycle and discussed a variety
I believe more transparency is needed any the dark pools need to be more transparent as well. The fines and penalties need to be increased so that the crime wouldn't be worth the cost of the crime. You have people taking interest in the stock market just to get robbed due to manipulation and synthetic shares. You will find that more people can be made to use the market fairly and people
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
On June 1, 1988, the NASD will institute the Limited Representative—Corporate Securities, a new category of registration. This new registration category will qualify persons associated with NASD members to solicit, purchase, or sell corporate securities, as defined in the amendment to Schedule C Part III, Section 29(e) to the
