Satisfying third party download provider requirements of the SEC's rules for electronically stored records.
When you invest in stocks of publicly traded companies, something comes with the package—corporate actions, which may affect a company’s stock and, therefore, its shareholders. Here are six common types of corporate actions and how they might impact your investments.
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2019
INFORMATIONAL
Trade Date—Settlement Date
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date— Settlement Date Schedule
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the
November 2, 1999Prior to the release of OATS in the test environment on August 23, 1999 and the production environment on September 20, 1999, OATS deviated from its own format specifications by accepting ROE records with an additional ending delimiter.The most recent OATS release now enforces the delimited format, which has been specified in Chapter 5, "Data Reporting Formats," and
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Municipal
Executive Summary
On May 28, 1998, the National Adjudicatory Council (NAC) considered two requests for exemptive relief under Municipal Securities Rulemaking Board (MSRB) Rule G-37(i). The NAC's decisions are published belowin redacted form, pursuant to a publication policy that the NAC adopted,
The Net Capital and Credit Risk Assessments section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Systems
Trading
Executive Summary
In 1996 there was an abundance of news and magazine articles, web pages, and special hearings in Congress designed to promote awareness of the Year 2000 (Y2K) challenge and to communicate information about the potential
FINRA Requests Comment on the Effectiveness and Efficiency of Its Payments for Market Making Rule
Executive Summary
The Membership Department would like to remind members of the importance of keeping the names of executive representatives, as well as mailing addresses for branch offices, up-to-date. Making certain that the Central Registration Depository (CRDSM) is kept informed of changes in address and contact people, ensures that regular Notices and special mailings will be directed
