Summary
FINRA requests comment on a proposal to expand the alternative trading system (ATS) volume data that it publishes on its website to include information on transactions in corporate bonds and agency debt securities that occur within an ATS and are reported to FINRA’s Trade Reporting and Compliance Engine (TRACE).
Questions concerning this Notice should be directed to:
Chris Stone,
Hello,
My name is Christopher Francis Lewis Patterson. I am an non-traditional, first generation undergraduate Business Information Systems Major communicating to you in the midst of finals at CSUDH Dominguez Hills in Carson, California. There’s a lot of other details about me that you may find interesting relating to my upcoming dialogue, but that’s not what this comment is about.
I would like
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, June 17, 1996. The information relating to matters contained in this section is current as of June 5, 1996. Information received subsequent to June 5, 1996, is not reflected in this section.
Firm Fined, Individual Sanctioned
Litwin Securities, Inc. (Miami Beach, Florida) and Harold A. Litwin (Registered
Summary
FINRA will conduct its Annual Meeting of firms on Wednesday, September 1, 2021, at 10:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat, one mid-size firm seat and one large firm seat on the FINRA Board of Governors (FINRA Board or Board).1
It is important that all
Rule Filing Status As Of July 7, 1999
NASD Rule Filing Status
The following is a list of rule filings by the National Association of Securities Dealers, Inc. (NASD® or Association) that are either pending at the Securities and Exchange Commission (SEC) or recently have been approved by the SEC and have not been announced in a Notice to Members. The information is current as of July 7,
(a) Each member organization, shall promptly give to the Exchange notice in writing on such form as may be required by the Exchange (1) on Form U-5, of the death, retirement, or other termination of any party required to be approved under the Rules of the Exchange, (2) of the dissolution of the member organization.
(b) In addition, in the case of a member corporation, such member corporation
This rule is no longer applicable. Incorporated NYSE Rules have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
(a) Each member organization, shall promptly give to the Exchange notice in writing on such form as may be required by the Exchange (1) on Form U-5, of the death, retirement, or other termination of any party required to be
For more than two centuries, the securities industry in the United States has been governed by private arrangements to regulate business conduct—membership organizations that set rules for their members, and then hold members accountable if they break the rules.The earliest such “self-regulatory organizations”—or SROs—date to the 1790s, when groups of traders in New York and Philadelphia agreed
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Listing of FINRA's Board of Governors.
