This data provides comprehensive information for collateralized mortgage obligation (CMO) securities with quantities under 1 million that traded within the past 10 years. A CMO is a type of mortgage-backed security in which mortgages are bundled together and sold as one investment. Learn more about CMOs and other bond types.
Fixed income data is compiled from multiple sources, including but not
Regulatory ObligationsSEA Rule 15c2-11 governs the publication or submission of quotations by broker-dealers in a quotation medium other than a national securities exchange (i.e., the OTC market).1 The rule generally prohibits a broker-dealer from publishing a quotation for any security in a quotation medium unless the broker-dealer has reviewed current and publicly available information
SEC Approves Amendments to Transaction Reporting and Trading Activity Fee Rules Related to the Reporting of Asset-Backed Securities Transactions
Short sellers should be required to report their short positions daily, of all trades on the lit exchange and the dark pools. Failure to do so should results in forfeiting all profits made and in case of a loss, short sellers should be fined half of the amount they lost, if short sellers continue to not follow the rules fines should increase for 2nd and 3rd offense, after the third strike, a
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
On January 13, 1999,
TO: All NASD Members and Other Interested Persons
On March 17, 1986, several amendments to SEC Rule 10b-10, the customer confirmation rule, will become effective. The amendments will require broker-dealers to report on customer confirmations trade prices and mark-ups and mark-downs in principal transactions in reported securities. "Reported securities" include NASDAQ National Market
TO: All NASD Members and Other Interested Persons
The following is a list of NASD Notices to Members issued during the fourth quarter of 1985. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.
Notice Number
Date
Topic
85-65
October 1, 1985
SIPC Trustee
INFORMATIONAL
Best Execution
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Best Execution
Executive Summary
The National Association of Securities Dealers, Inc. (NASD® or Association) is issuing this Notice to reiterate the best execution obligations that apply to member firms when they receive, handle, route for
I am in favor of these proposed rule changes. Specifically the disclosing of synthetic positions. It is vital that this information be made available to combat predatory trading practices. Practices that artificially destroy businesses and lives. If we cannot eliminate the loophole that allows for synthetic naked shorting, getting as much information made public is the next best thing. Perhaps it
Since Monday, December 5, 2022, FINRA had experienced an issue with ORF clearing messages for transactions that are cancelled, corrected, broken or reversed and thus caused duplicate settlement messages and incorrect settlement amounts for those transactions.
FINRA has resolved this issue and the software fix will be in production starting Thursday, December 8, 2022. Beginning December
