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Request for Interpretive Guidance Under NASD Rule 2711
All widows and widowers could benefit from a few basic financial tips to manage their money.
With the consolidation of NASD and NYSE Member Regulation, the Financial Industry Regulatory Authority (FINRA) became the largest non-governmental regulator for all securities firms doing business in the United States.
SUGGESTED ROUTING*
Internal Audit
Legal & Compliance
Operations
Systems
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved an amendment to Section 59 of the NASD's Uniform Practice Code to provide for the automation of the NASD's
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Options
Executive Summary
On February 5, 1997, in Release No. 34-38245 (Release), the Securities and Exchange Commission(SEC) amended its broker/dealer record retention rule to allow broker/dealers to employ, under certain
Frequently Asked Questions on Market Orders and Delayed Implementation Date for FINRA Rule 5131(b) and (d)(4)
INFORMATIONALMarginSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceOperationsSenior ManagementCustomer DisclosuresMargin Executive SummaryOn September 5, 2000, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) a rule proposal that would require members to deliver to non-institutional customers a specified
Data Definitions for Treasury Securities Trade Activity. Data fieldDefinitionAggregate Indicator Aggregate Indicator field identifies if a transaction is eligible for the Treasury aggregate statisticsY - Aggregate EligibleN - Not eligible for the Aggregates As Of IndicatorThis field will be populated if the transaction being reported is an As/Of trade, Reversal, Cancel
When used in these By-Laws, unless the context otherwise requires, the term:
(a) "Act" means the Securities Exchange Act of 1934, as amended;
(b) "Board" means the Board of Directors of FINRA Dispute Resolution;
(c) "broker" shall have the same meaning as in Section 3(a)(4) of the Act;
(d) "Commission" means the Securities and Exchange
