The Trading Examinations Unit (TEU) of the Market Regulation Department at FINRA is conducting a review of Alternative Trading Systems (ATS) operated by XYZ Firm (the Firm). As part of this review, TEU is requesting the following information.
FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education
Guidance on Reporting Short Interest Positions Held in Master/Sub-Accounts or Parent/Child Accounts
INFORMATIONAL
OTC Bulletin Board
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Operations
Trading & Market Making
OTC Bulletin Board
Eligibility Rule
The Suggested Routing function is meant to aid the reader of this
SEC Approves Amendment to Require Alternative Trading Systems to Identify Non-FINRA Member Subscribers in TRACE Reports for U.S. Treasury Securities
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, May 20, 1996. The information relating to matters contained in this section is current as of May 5, 1996. Information received subsequent to May 5, 1996 is not reflected in this section.
Firm Expelled, Individuals Sanctioned
Devon Resources Financial Corporation (Tulsa, Oklahoma), Catherine W. Yox (
Private Placements and Public Offerings Subject to a Contingency
Unless otherwise indicated, suspensions will begin with the opening of business on Monday April 15, 1996. The information relating to matters contained in this section is current as of April 5, 1996. Information received subsequent to April 5, 1996 is not reflected in this section.
Firm Expelled, Individuals Sanctioned
M. Rimson & Co. Inc. (New York, New York), Moshe Rimson (Registered
SEC Approves Consolidated Front Running Rule
Request for Exemption from the Provisions of NASD Conduct Rule 2710
