The following charges shall be paid by participants for use of the FINRA/Nasdaq Trade Reporting Facility. In the case of trades where the same market participant is on both sides of a trade report, applicable fees assessed on a "per side" basis will be assessed once, rather than twice, and the market participant will be assessed applicable Trade Report Fees as the Executing Party side
Comment Period Expires April 21, 1995
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On March 17, 1995, the NASD Board of Governors approved the issuance of a Notice to Members, soliciting comment on a proposal for comprehensive structural changes in The Nasdaq Stock Market™ through the
The FINRA Board of Governors will consider the following rulemaking items at its September 2013 meeting.
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When it became clear that FINRA was going to move to a fully remote work environment in early March, most of the focus was on how to continue conducting business in a fully digital environment. But several functions FINRA performs still require sending materials in the mail to firms and individuals. One example is the Regulatory Review group within Credentialing, Registration, Education and
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective January 2, 1997, tier sizes for 762 Nasdaq National Market® securities will be revised in accordance with NASD Rule 4710(g).
For more information, please contact Nasdaq Market Operations at (203) 378-0284
As a result of a recent review of gift and gratuity practices of over 40 member firms, NASD staff is concerned that members may not be fulfilling their obligations to comply with, and establish adequate supervisory systems and procedures reasonably designed to achieve compliance with, NASD’s rule governing gifts and gratuities – Conduct Rule 3060 (the “gift rule”). Rule 3060 prohibits
SEC Approves Rule Amendment to Create a New TRACE Security Activity Report and End-of-Day TRACE Transaction File
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Rule 6800 Series, FINRA’s compliance rule (“Compliance Rule”) regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) to be consistent with an amendment to the CAT NMS
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Mutual Fund
Training
Executive Summary
The NASD® is publishing this Notice to clarify its position on the use of logos and names of banks and other financial institutions under the current NASD rules and regulations and the federal securities laws generally.
Discussion
In the November 1994 account
