SEC Approves Changes to the FINRA Regulation Board Composition and Conforming Changes to the FINRA Regulation By-Laws; Effective Date: August 20, 2009
FINRA Provides Guidance on Pandemic Preparedness
November 1999
Are You Ready For The Year 2000?
As the Year 2000 approaches, most media reports and surveys indicate that businesses are making significant progress and will be well prepared for the century date change. However, there is still work that needs to be done. Organizations should continue to focus on maintaining a high level of readiness. One important way to achieve this is through
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Senior ManagementInternal AuditOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market securities was established as follows:
A 1,000-share maximum order size was applied to those Nasdaq National Market securities that
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
Public GovernorVice President, Governance Studies, Brookings InstitutionGovernor Since 2019Committees: Conflicts Committee, Executive Committee, Finance Operations & Technology Committee, Investment Committee, Nominating & Governance Committee (Chair), Regulatory Oversight CommitteeProfessional ExperienceBrookings Institution (2017 – Present)Deputy CEO/Chief Innovation Officer,
REQUEST FOR COMMENT
Proposed Rule Governing the Purchase, Sale, or Exchange of Deferred Variable Annuities
Comment Period Expired: August 9, 2004
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KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
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Central Registration Depository System (CRD® or CRD system
October 1999
Contingency Planning Activities
Although most businesses have worked, and are continuing to work, diligently to ensure that their Year 2000-related issues will be resolved in time, everyone must anticipate that some things may be overlooked, ignored, or not completed on or before December 31, 1999. In addition, businesses should consider events beyond their control that could
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
