SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceOperationsSystemsTrading
As of December 28, 1994, the following 56 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,752:
BPTM
Bridgeport Machines, Inc.
11/29/94
500
VECO
Veeco Instruments, Inc.
11/29/94
500
AMSE
American Mobile Systems, Inc
Summary
The NAC has revised FINRA’s Sanction Guidelines to incorporate a new guideline for violations of the Consolidated Audit Trail System (CAT) industry member compliance rules.
The revised Sanction Guidelines are effective immediately and available on FINRA’s website.
Questions concerning this Notice should be directed to:
Alan Lawhead, Vice President and Director – Appellate Group,
On December 1, 2009, the SEC approved FINRA's proposed rule change to adopt a new set of rules governing clearly erroneous transactions in the consolidated rulebook.
For years, the London Interbank Offered Rate (Libor) set the benchmark for global interest rates and impacted trillions of dollars in financial activity, leading many to call it as “the world’s most important number.” However, following controversies and reform efforts after the 2008 financial crisis, regulators in the United States and United Kingdom began exploring a replacement benchmark rate
The Anti-Money Laundering, Fraud and Sanctions topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
Summary
This Notice shares key operational changes in FINRA’s Membership Application Program (MAP) implemented to improve its effectiveness and efficiency (MAP Transformation), including establishing a centralized application intake function and aligning the program with the firm grouping model developed by FINRA’s Member Supervision Department during its recent transformation.
Applicants are
Effective December 15, 2008, member firms that carry accounts and/or clear transactions or act as an intermediary to facilitate the clearance of accounts through another firm must report their clearing method and clearing arrangements through the FINRA Firm Gateway, a tool that provides firms consolidated access to FINRA applications.
Re: Request for Comment on Day Trading Rules (Regulatory Notice 24-13)To Whom It May Concern:Jake P. Noch Family Office, LLC. (“JPN Family Office” or “we”) appreciates the opportunity to comment on FINRA’s review of the rules governing day trading and pattern day trading (the “Rules”). We commend FINRA for periodically reassessing the Rules in light of evolving market conditions, technological
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, December 1, 1987, the following 2 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,068:
Symbol*
Company
Location
HIWDF
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Executive Summary
The Securities and Exchange Commission (SEC) recently adopted Rule 15c6-1 under the Securities Exchange Act of 1934 to establish three business days, instead of five, as the standard settlement time-frame
