The work you do is incredibly important, and we appreciate and respect your critical contributions to our shared objectives of investor protection and market integrity.
The Contra Executing Firm 20 Minute Compliance report card is a monthly status report that provides information on transactions in which a firm failed, as the Contra Firm to accept / decline / compare trades within 20 minutes after execution, in apparent violation of FINRA Rules 7230A(b) and/or 7330(b). It provides information about the number of trades that were accepted / declined / compared
INFORMATIONAL
Riskless Principal Trade Reporting
Riskless Principal Trade-Reporting Rules Will Be Implemented On February 1, 2001
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KEY TOPICS
Continuing Education/Testing/Qualifications
Institutional
Legal & Compliance
Operations
Senior Management
Systems
Technology
Trading & Market Making
Training
Riskless Principal
Trade Reporting
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Mutual Fund
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Syndicate
Systems
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*These are suggested departments only. Others may be appropriate for your
Comment Period Expires: July 16, 1997
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Syndicate
Training
Executive Summary
In the following document, NASD Regulation, Inc. (NASD RegulationSM) requests comment on specific
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Executive Summary
On February 21, 1997, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) an amendment to NASD ® Conduct Rule 2340 to regulate the disclosure of values for unlisted and illiquid direct participation program (DPP) and
Remarks From FINRA Fixed Income Conference
Thank you for that kind introduction, Dean Johnson. I am afraid that the Road Ahead in Regulation may have changed in just the time we have been sitting here.
