Thursday, December 7All times are listed in Eastern Time.10:30 a.m. – 10:45 a.m.Opening Remarks10:45 a.m. – 11:30 a.m.Panel 1: Credit RatingsTopics:Rules of the RoadUnderstanding Bond Ratings: Methodologies, Consistency of Application, and Assurance of RatingsCase StudyTrends11:30 a.m. – 11:40 a.mBreak11:40 a.m. – 12:25 p.mPanel 2: Pricing Issues (New and Remarketing)Topics:Compliance
OverviewThe Capital Acquisition Broker (“CAB”) Written Supervisory Procedures Checklist (“WSP Checklist”) is an outline of selected key topics representative of the business activities typically engaged in by CAB members and permissible under FINRA’s CAB Rules. A complete copy of the CAB Rules can be found here: https://www.finra.org/rules-guidance/rulebooks/capital-acquisition-broker-rulesFINRA
If you have any issues or questions, please reach out to us.
Summary
Last year, FINRA took several steps to engage with members regarding their current and planned activities relating to digital assets. These efforts included the issuance of Regulatory Notice 18-20, which encouraged firms to keep their Regulatory Coordinator informed if the firm, or its associated persons or affiliates, engaged, or intended to engage, in activities related to digital
Summary
FINRA requests comment on a proposal to facilitate centralized access to members’ order execution quality reports for NMS stocks that are required to be published by market centers under Rule 605 of Regulation NMS. Under the proposal, FINRA members would be required to provide their Rule 605 reports to FINRA, which FINRA would publish in a centralized location on the FINRA website.
TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers ("Association" or "NASD") is publishing for comment by members and all other interested persons a proposed rule which would establish new requirements for the private securities transactions of persons associated with member firms. The rule would replace in its entirety the
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceOperationsSyndicateTradingTraining
Executive Summary
On May 28, 1993, the Securities and Exchange Commission (SEC) approved amendments to Part VI, Section 8 of Schedule D to the NASD® By-Laws that will assist members in meeting their obligations under SEC rules 10b-6 and 10b-6A. The amendments require that
List of extension reason codes with summary information and filing details.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: APRIL 27, 1986
The National Association of Securities Dealers, Inc. (NASD), is publishing for comment by members and other interested persons proposed amendments to the NASD By-Laws and Code of Procedure that would establish procedures for extended hearings in disciplinary actions before the NASD. These amendments would
How FINRA Assesses Performance of its Machine Learning Models
Data science has come a long way in the past 10 years. As machine learning projects become productionized, they look increasingly like software projects. Focus has shifted from presenting charts to integrating AI software into a production pipeline. There is still plenty of work in the former scenario, but the latter has become more
