Business Continuity Plans
Action Requested By: May 13, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Institutional
Internal Audit
Legal & Compliance
Operations
Registration
Senior Management
Systems
Business Continuity
Disaster Recovery
Emergency Preparedness
Executive Summary
The NASD is seeking comment from NASD members, investors, and other
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed NASD Rule 2342, which would require members to advise all new customers, in writing, at the opening of an account, and all customers at least once each year that they may obtain information about the Securities Investor Protection Corporation ("SIPC"), including the
In investment-related impersonation schemes, scammers misuse the name of real registered investment professionals or firms to create the appearance of legitimacy. Imposter scams can be difficult to spot unless you know what you’re looking for. Here are patterns to be aware of and tips to help spot the fakes.
November 26, 2001Periodically, important messages need to be broadcast to the OATS user community. The quickest medium is the OATS Announcements Page on the OATS Web Interface. The information posted to the OATS Announcement Page is usually urgent and may affect what you can process or see on the Web Site. It is very important that you monitor the OATS Announcements on a daily basis to see the
This data provides comprehensive information on mortgage-backed securities (MBSs) that traded within the past 10 years. Access up to three years real-time trade history and seven years end-of-day trade history per security. Trade history represents mortgage securities with similar characteristics, i.e., reference data ID (RDID). An MBS provides issuers with monthly payments from a pool
This data provides comprehensive information on mortgage-backed securities (MBSs) that traded within the past 10 years. Access up to three years real-time trade history and seven years end-of-day trade history per security. Trade history represents mortgage securities with similar characteristics, i.e., reference data ID (RDID). An MBS provides issuers with monthly payments from a pool
Debe saber que se prohíbe ciertos tipos de conducta en la industria de valores.
INFORMATIONAL
Continuing Education — In-Firm Delivery Of The Regulatory Element
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
NASD Membership and Registration Rule 1120
FINRA publishes over-the-counter (OTC) trading information on a delayed basis for each alternative trading system (ATS) and member firm with a trade reporting obligation under FINRA rules. Security-specific information for firms with “de minimis” volume outside of an ATS is aggregated and published on a non-attributed basis.The trading information is derived directly from OTC trades
