FINRA is issuing this Regulatory Notice to provide members an update on regulatory coordination efforts concerning compliance with CAT reporting rules (the “CAT compliance rules”). In particular, FINRA and the national securities exchanges, as CAT NMS Plan Participants, have entered into a Rule 17d-2 Plan and corresponding Regulatory Services Agreements (RSAs) to coordinate regulation of the CAT
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Reporting Requirements; Comment Period Expired: January 16, 2009
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill
R. F. LAFFERTY & CO., INC.40 WALL STREET, 29TH FLOOR, NEW YORK, NY 10005R. SEELAUS & CO., LLC26 MAIN STREET, SUITE 300, CHATHAM, NJ 07928R.J. O'BRIEN SECURITIES, LLC222 SOUTH RIVERSIDE PLAZA, SUITE 1200, CHICAGO, IL 60606Mailing Address: 222 SOUTH RIVERSIDE PLAZA, SUITE 1200, CHICAGO, IL 60606R.M. DUNCAN SECURITIES, INC.10201 W MARKHAM ST, SUITE 219, LITTLE ROCK, AR 72205R.M
The Market Access Rule topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: SEPTEMBER 11, 1987.
EXECUTIVE SUMMARY
On October 28, 1986, President Reagan signed the Government Securities Act of 1986, providing for the regulation of government securities activities by brokers and dealers. This legislation created a new section 15C of the Securities Exchange Act of 1934, which requires
The Anti-Money Laundering, Fraud and Sanctions topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Closing Of Washington District Office
A decision was made in June of last year to close the Washington, D.C. NASD RegulationSM District Office. That District Office officially closed its doors on January 31, 1998.
This notification is to advise readers that the functions of the former D.C. District Office have been divided between the Philadelphia and Atlanta NASD Regulation District Offices.
SUGGESTED ROUTING
Legal & Compliance
Operations
Options
Executive Summary
The Securities and Exchange Commission has approved proposals by each of the five registered national options exchanges and the National Association of Securities Dealers, Inc. (the SROs) that provide member firms with more flexibility in how they store account statements and other information for
As of March 27, 1995, the following 34 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,740:
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
Symbol
Company
Entry Date
SOES Execution Level
CYTOR
Cytogen Corp. (Rts 1/31/97)
2/24/95
200
CYTOW
Cytogen Corp. (
