SUGGESTED rOUTING
Senior Management
Continuing Education
Legal & Compliance
Executive Summary
The Securities Industry/regulatory Council on Continuing Education (Council) includes 13 members representing a cross-section of securities firms and six self-regulatory organizations (SrOs).1
SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & ComplianceMutual FundTraining
Executive Summary
On March 17, 1994, the Securities and Exchange Commission (SEC) approved amendments to the NASD Rules of Fair Practice to: (1) require filings of investment company advertisements and sales literature that incorporate mutual fund rankings to include a copy of the ranking or
Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
This is an update to the schedule for the rollout of FINRA’s Multi Factor Authentication (MFA). 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 for its products.
On Monday, April 19, 2021 (previously January 25, 2021), FINRA will
SUGGESTED ROUTING:*
Senior ManagementLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to the Interpretation of the Board of Governors — Forwarding of Proxy and Other Materials, Article III, Section 1 of the NASD Rules of Fair Practice to require NASD
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on extensive amendments to Article III, Sections 1
(a) Member Surcharge
(1) A surcharge in the amount indicated in the schedule below will be assessed against each member that:
(A) Files a claim, counterclaim, cross claim, or third party claim under the Code;
(B) Is named as a respondent in a claim, counterclaim, cross claim, or third party claim filed and served under the Code; or
(C) Employed, at the time the dispute arose, an associated
When adopting cloud computing on a partial basis, firms typically targeted workloads that could be significantly improved because of the operational benefits provided by the cloud. Some of the key types of applications firms are beginning to deploy on the cloud include the following:
Productivity SaaS applications: Firms migrating to the cloud often seek to become consumers of SaaS products
Cloud computing refers to the delivery of information technology (IT) services using internet technologies in a way that is elastic and scalable and may be priced on a pay-as-you-go basis. Core cloud computing services generally include data storage, processing capacity, networking and software applications. Many of these services are similar to utility services in that they are largely
This data provides total and average daily trading volumes for the prior month in corporate, agency and securitized products reported to TRACE. Learn more about corporate, agency and other bonds.
View Data
About the Data
Data Sources
TRACE (Trade Reporting and Compliance Engine), the FINRA-developed vehicle that facilitates the mandatory reporting of over-the-
