Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
(a) If a participant of a registered clearing agency has a fail to deliver position at a registered clearing agency in a non-reporting threshold security for 13 consecutive settlement days, the participant shall immediately thereafter close out the fail to deliver position by purchasing securities of like kind and quantity.
(1) Provided, however, if a participant of a registered clearing
ZANBATO SECURITIES LLC711 / 715 N. SHORELINE BLVD., MOUNTAIN VIEW, CA 94043ZELMAN PARTNERS, LLC27101 EAST OVIATT ROAD, SUITE 14, BAY VILLAGE, OH 44140ZENITH SECURITIES LLC1061 E INDIANTOWN ROAD, SUITE 318, JUPITER, FL 33477ZEUS FINANCIAL, LLC4800 T-REX AVENUE, SUITE 100, BOCA RATON, FL 33431ZINK DISTRIBUTION SOLUTIONS2937 SW 27TH AVENUE, SUITE 302/303, COCONUT GROVE, FL 33133ZINVEST FINANCIAL
As announced by the Board of the Federal Reserve System in the Federal Register on October 28, 2021, FINRA will collect detailed data on depository institutions' daily transactions of marketable U.S. Treasury securities and of the debt and MBS issued by U.S. federal government agencies including government-sponsored enterprises (agencies) via its Trade Reporting and Compliance Engine (TRACE
Summary
FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails (see sample in Appendix) purporting to be from FINRA and using one of at least three imposter FINRA domain names:
“@finrar-reporting.org”
“@Finpro-finrar.org”
“@gateway2-finra.org”
The email asks the recipient to click a link to “view request” and provide information to “complete” that request
Executive Summary
This Notice advises broker-dealers engaged in the business of agency securities lending that the Agency Lending Disclosure Taskforce (Industry Taskforce), composed of, among others, representatives of the securities industry, regulators, and the Depository Trust & Clearing Corporation (DTCC), has recommended, through its Agency Lending Disclosure Initiative, certain
GUIDANCE
Regulatory Element Exemptions
Effective Date: April 4, 2005
SUGGESTED ROUTING
KEY TOPICS
Continuing EducationLegal and ComplianceRegistered RepresentativesSenior Management
RegistrationTraining
Continuing EducationRegulatory ElementRule 1120
Executive Summary
On September 27, 2004, the Securities and Exchange Commission
(SEC) approved amendments to NASD Rule 1120 (
FinPro now offers two optional features that permit users to collaborate with their firms on a draft Form U4:Allow Rep Edits grants individuals the ability to review and modify a draft, andthe E-Signature feature offers reps the option to sign a completed form electronically rather than with a pen.Firms can enable one or both of these optional tools to streamline the work performed while
All members, except those members: (a) that pursuant to Section 3(a)(2)(A)(i) through (iii) of the Securities Investor Protection Act of 1970 (SIPA) are excluded from membership in the Securities Investor Protection Corporation (SIPC) and that are not SIPC members; or (b) whose business consists exclusively of the sale of investments that are ineligible for SIPC protection, shall advise all
A member which does not maintain an office in the United States responsible for preparing and maintaining financial and other reports required to be filed with the SEC and FINRA must:
(a) prepare all such reports, and maintain a general ledger chart of account and any description thereof, in English and U.S. dollars;
(b) reimburse FINRA for any expenses incurred in connection with
