Effective December 31, 2007, new NASD Rule 1160 (Contact Information Requirements) streamlines the review and verification of contact information and eliminates the requirement that member firms review and update certain designated contact information on a quarterly basis. The new rule requires firms to update designated contact information promptly upon any material change, verify such information annually and comply promptly with any request for such information.
Summary
The purpose of this Notice is to inform small FINRA member firms1 of the upcoming Small Firm Advisory Committee (SFAC) election. One seat on the SFAC is up for election, representing the New York region.
The SFAC provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on FINRA’s small firm members. The SFAC meets four times a year
SummaryThrough its examinations of member firms, FINRA has observed instances of non-compliance with SEA Rule 15c3-1, SEA Rule 17a-3 and SEA Rule 17a-5 resulting from misapplication of the Financial Accounting Standards Board’s Accounting Standard Codification 606, Revenue from Contracts with Customers (“ASC 606”). This Notice provides guidance regarding potential compliance issues with respect
This data provides trading volume in U.S. Treasury securities reported to TRACE for the prior month. Monthly aggregated data is published on the second business day following the end of the month.
Treasury bond data is aggregated by security subtype: Bills, Floating Rate Notes (FRN), Nominal Coupons and Treasury Inflation-Protected Securities (TIPS). The data is
This data provides trading volume in U.S. Treasury securities reported to TRACE for the prior month. Monthly aggregated data is published on the second business day following the end of the month.
Treasury bond data is aggregated by security subtype: Bills, Floating Rate Notes (FRN), Nominal Coupons and Treasury Inflation-Protected Securities (TIPS). The data is
This data provides trading volume in U.S. Treasury securities reported to TRACE for the prior day. The daily aggregate data is published at 8:00 PM ET every business day.
Treasury bond data is aggregated by security subtype: Bills, Floating Rate Notes (FRN), Nominal Coupons and Treasury Inflation-Protected Securities (TIPS). The data is further grouped into "ATS (
The proposed amendment to FINRA 4560 is a laughable attempt at improving naked short selling internal control measures, actual regulatory action, or really any kind of further obligation on the part of the involved broker-dealers. There have been hundreds if not thousands of regulatory "actions" taken by FINRA related to short sale, and misreporting/misclassification of shorts. This
First of all- Proverbs 13:22 says that the sinners wealth is stored up for the godly. And good people leave an inheritance to their grandchildren! I fully believe that the Lord is bringing about a great transfer of wealth thru many means and avenues not just the stock market. I've seen Him (the Lord) use real estate and my husband and I were beneficiaries of that a few times. All that being
SUGGESTED ROUTING*
Senior Management
Internal Audit
Operation
Trading
*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum SOES order size for all NASDAQ National Market System (NASDAQ/NMS) securities was established as follows:
On May 12, 2014 FINRA filed for immediate effectiveness SR-FINRA-2014-024 with the Securities and Exchange Commission ("SEC").
