FINRA Announces Implementation Date for Publication of ATS Block-Size Trade Data
On this episode, we delve into the results of FINRA's targeted review of certain member firms and their communications to retail investors regarding crypto products and services.
TO: All NASD Members
The Securities and Exchange Commission has adopted the amendments proposed in March to its shareholder communications rules. The amendments, which specify the obligations of brokerage firms and issuers, stipulate:
• That issuers who request a list of nonobjecting security holders from one broker must request it from all brokers with customers who beneficially own the issuer
SUGGESTED ROUTING
Senior Management
Corporate Finance
Government Securities
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Training
Executive Summary
The Securities and Exchange Commission (SEC) recently adopted amendments to Rule 10b-10 that require the disclosure of additional information on customer confirmations. The SEC deferred
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of April 21, 1992, the following 65 issues joined the Nasdaq National Market bringing the total number of issues to 2,819:
Symbol
Company
Entry Date
SOES Execution Level
CBSA
Coastal Bane Savings Association
3/25/92
1000
COLL
Collins
Updated: April 18, 2017
Good afternoon. Thank you, Merritt [Fox], for that kind introduction and for the invitation to speak with you this afternoon. It’s a pleasure to be with you today and to participate in this ambitious initiative to conduct a New Special Study of the securities markets.
As all of you know, the original Special Study was a defining event in the history of U.S.
Listen Now/Download | 36 min. 51 sec.
Thanks very much, Lee [Covington], and it's great to be with you today. Your introduction was very kind, but when you really get down to it, you described two things of significance to this audience: one of which is I didn't seem to be very good at holding a job, and the other which is sadly, I'm one of your Baby Boomers that needs to think
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, January 20, 1987, 17 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,729. These 17 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, November 18, 1986, 21 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,658. These 21 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
• Disqualified Persons—Failure to Discharge Supervisory Obligations
• Supervision—Failure to Comply With Taping Rule Requirements
• Supervision—Failure to Supervise
• Supervision—Systemic Supervisory Failures
• Supervisory Procedures—Deficient Written Supervisory Procedures
