SEC Approves Amendments to NASD Rule 11870 and NYSE Rule 412 to Conform with NSCC's ACATS Transfer Cycle Time Frames
Comment Period Expires: February 16, 1998
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Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on two proposed rules, National Association of Securities Dealers, Inc. (NASD®) Rules 2315 and 2350, which would require members to review
FINRA is alerting consumers of its OTC Transparency Data to some recent changes related to the FINRA API platform.
OAuth2 Authentication:
In order to improve security, FINRA is transitioning to OAuth2 authentication. As such, the API platform will only support OAuth2 authentication starting June 1, 2022.
After May 31, 2022 the FINRA API platform will no longer support Basic
Year 2000 Program Addresses Challenges Faced By Automated Systems
Members Be Advised: The year 2000 will be upon us in less than two and a half years, and, to be ready, all National Association of Securities Dealers, Inc. (NASD®) member firms must take action now to ensure that their automated systems will continue to operate successfully. The NASD has instituted a Year 2000 (Y2K) Program to
At FINRA’s annual conference on May 13, 2025, President and CEO Robert Cook discusses the FINRA Forward initiative and other topics of interest to FINRA member firms and other stakeholders, in conversation with Kayte Toczylowski, VP, Member Relations and Education.
October 29, 2024FINRA released a Cyber Advisory alerting firms of increased cybersecurity risks at third-party service providers. This webinar reviews the details of the Cyber Advisory including an overview of the regulatory and threat landscapes and effective practices.Speakers:Brita Bayatmakou, Vice President, Strategic and Threat IntelligenceRob Francis, Senior Director, Cyber and Analytics
NASDR has filed with the SEC a proposed rule change to amend NASD Books and Records Rule 3110 and NASD Order Audit Trail System Rules 6954 and 6957 to (1) require members to record certain information when an order is transmitted to a non-member; (2) explicitly detail the record- keeping requirements that will apply to OATS data; (3) require members to record and maintain information related to
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*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on extensive amendments to Article III, Sections 1
SEC Approves Amendments to Arbitration Codes to Raise the Limit for Simplified Arbitration From $25,000 to $50,000
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Municipal
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As of July 28, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
CE.GB
Calif energy
9.875
6/30/03
HRRA.GA
Harrah's
