On Wednesday, January 27, 2021, starting at 2:40 p.m. ET, the FINRA/NYSE TRF experienced a technical issue resulting in delays when submitting trade information to DTCC and FINRA. Trade reports to the Consolidated Tape were not impacted, and all trades were submitted to clearing by 8:30 p.m. ET on January 27, 2021.
FINRA is working with the NYSE TRF to receive any trades that were
January 18, 2006
NASD is issuing this OATS report to clarify for members the difference between qualifying for exclusion from the definition of "Reporting Member" under NASD Rule 6951(n) and obtaining an exemption from the OATS Reporting Requirements pursuant to NASD Rule 6957.
On September 28, 2005, the Securities and Exchange Commission (SEC) approved amendments to Rules 6950
Your credit score is a picture of you as a credit risk to the lender at the time of your application.
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Extended Hours Trading Risk Disclosure
Regulatory Notice
Notice Type
Guidance
Suggested Routing
Advertising
Compliance
Institutional
Legal
Operations
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Registered Representatives
Risk
Senior Management
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Training
Key
INFORMATIONAL
Public Disclosure Program
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Forms U-4 And U-5
IM-8310-2
Public Disclosure Program
Executive Summary
On February 7, 2000, the Securities and Exchange Commission (SEC) approved proposed changes to National Association of Securities Dealers, Inc. (
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
This data provides market activity as of end of day for structured products, based on transactions reported to TRACE. Tables of aggregated price levels are organized by product type.This end-of-day service represents the full asset- and mortgage backed securities markets and is derived using only actual transacted prices from TRACE, the U.S. over-the-counter bond market mandated regulatory
FINRA Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market
• 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
Special NASD Notice to Members 99-74
Suggested Routing
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