SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 14, 1991. On this day, the Nasdaq system and the exchange markets will be
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceMunicipalOperationsSystems
On January 31, 1994, the Securities Investor Protection Corporation (SIPC) instituted a direct payment procedure for:
McCarley and Associates, Inc.242A South Pleasantburg DriveGreenville, SC 29606
Questions regarding the firm should be directed to SIPC:
Securities Investor Protection Corporation805
SEC Announces Approval of Amendment to NASD's Minor Rule Violation Plan (MRVP) to Include Failure to Timely Submit Amendments to Form U5
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
The correct effective date for the requirement for daily price and volume reporting on
SUGGESTED ROUTING*
Senior ManagementInstitutional Legal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved amendments to the Rules of Practice and Procedures for the Small Order Execution System (SOES or SOES Rules) proposed by the NASD to
SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Rule 144A Transactions in TRACE-Eligible Securities and Related Fees
(a) When and How Transactions are Reported(1) Trade Reporting Facility Participants shall, as soon as practicable but no later than 10 seconds after execution, transmit to the FINRA/NYSE Trade Reporting Facility or, if the FINRA/NYSE Trade Reporting Facility is unavailable due to system or transmission failure, by telephone to the FINRA/NYSE TRF Operations Department, last sale reports of
Summary
The Securities and Exchange Commission (SEC) approved1 amendments to FINRA’s customer and industry arbitration rules to expand time for non-parties to respond to arbitration subpoenas and orders of appearance of witnesses or production of documents. The amendments also make related changes to enhance the discovery process for forum users.
The amendments are effective for cases filed on
FINRA is a private, not-for-profit membership organization that is responsible under federal law for supervising our member firms. FINRA regulates a critical part of the securities industry—member brokerage firms doing business in the United States. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of our work.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENTS: MARCH 2, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on two proposed amendments to Section (c)(l)(B) of the Rules of Practice and Procedure governing the NASD's Small Order Execution System (SOES). One amendment would prohibit NASDAQ market makers from utilizing SOES to execute agency orders in securities in
