GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal and ComplianceOperationsRegistered RepresentativesSenior ManagementTrading
IM-6660-1NASD Rule 6660OTC
Equity SecuritiesQuotationsTrading Halts
OTC Equity Trade and Quote Halt Codes
Executive Summary
On December 18, 2006, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 6660 to expand the scope of NASD's authority
FINRA Requests Comment on Proposed FINRA Rules Governing Markups, Commissions and Fees
Applicability of Rule 2510(d) to the use of negative response letters to transfer customer funds from money market mutual funds to interest bearing bank accounts.
(a) Except as provided herein, a member that accepts and holds an order in an equity security from its own customer or a customer of another broker-dealer without immediately executing the order is prohibited from trading that security on the same side of the market for its own account at a price that would satisfy the customer order, unless it immediately thereafter executes the customer order
The information provided in this job aid is intended to serve as a reference for firms to determine the annual renewal fees charged per registered individual as listed on the Renewals – Firm Renewal Report and Download.1When requesting the Renewals – Firm Renewal Report and Download, select the ‘Yes’ option in answer to ‘Generate Zipped CSV file?’ parameter.Open the Excel file provided in the
As previously announced in Nasdaq Equity Trader Alert # ETA2018-63, effective September 1, 2018, a new category of participant on the FINRA/Nasdaq Trade Reporting Facility (or “FINRA/Nasdaq TRF”)1 was established for purposes of trade reporting fees under FINRA Rule 7620A – the Retail Participant. The Retail Participant Program is designed to better align and tailor retail pricing to the profile
SEC Approves the CAT Fee Dispute Resolution Process
GUIDANCE
Portfolio Margin Program
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Margin
Operations
Senior Management
Margin Requirements
Portfolio Margin
Rule 2520
Rule 2860
Executive Summary
On February 12, 2007, NASD filed with the Securities and Exchange Commission (SEC) for immediate effectiveness a rule change to amend
The question of whether a particular person is required to obtain a series 63 license is a specific facts and circumstances analysis, and ultimately would be answered by state law or regulations of each individual state involved.
FINRA Reminds Alternative Trading Systems (ATSs) and ATS Subscribers of Their Trade Reporting Obligations in TRACE-Eligible Securities
