As a supplement to filing FOCUS reports required pursuant to SEA Rule 17a-5 and FINRA Rule 2010, each member, as FINRA shall designate, shall file such additional financial or operational schedules or reports as FINRA may deem necessary or appropriate for the protection of investors or in the public interest. The content of such schedules or reports, their format, and the timing and the frequency
Public GovernorRetiredGovernor Since 2025Professional ExperiencePrincipal, Gaillard Group LLC (2022 – Present)Managing Director and General Counsel, Citadel Securities (2017 – 2022)Director, Division of Trading & Markets, U.S. Securities and Exchange Commission (SEC) (2014 – 2017)Partner, WilmerHale (2012—2014)Financial Industry Regulatory Authority (FINRA) (1996 – 2012)Vice
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
New Year's Day: Trade Date-Settlement Date Schedule
Securities exchanges and The Nasdaq Stock MarketSM will be closed on Wednesday, January 1, 1992, in observance of New Year's Day. "Regular
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, November 18, 1996. The information relating to matters contained in this Notice is current as of October 28, 1996. Information received subsequent to the 28th is not reflected in this edition.
Firms Suspended, Individuals Sanctioned
Euro-Atlantic Securities Inc. (Boca Raton, Florida) and David Paul
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, November 3, 1987, the following 15 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,087:
Symbol*
Company
Location
BMED
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Membership Application Program (“MAP”) rules to help further address the issue of pending arbitration claims, as well as arbitration awards and settlement agreements related to arbitrations that have not been paid in full in
SummaryFINRA is issuing this Notice to remind member firms of longstanding Securities and Exchange Commission (SEC) and FINRA rules and guidance concerning best execution and payment for order flow, which the SEC has defined very broadly to refer to a wide range of practices including monetary payments and discounts, rebates, or other fee reductions or credits. Under these rules and guidance,
THIS PAYMENT AGREEMENT (“AGREEMENT”) IS A LEGAL CONTRACT BETWEEN YOU AND THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. (“FINRA”) AND SETS FORTH THE TERMS AND CONDITIONS GOVERNING THE PAYMENT OF ENROLLMENT FEES BY CREDIT CARD AND AUTOMATED CLEARING HOUSE (ACH). BY SELECTING THE "AGREE" CHECKBOX, YOU ACKNOWLEDGE THAT YOU ACCEPT THE TERMS OF THIS AGREEMENT.
The Maintaining
This data provides trade activity for corporate and agency bonds for up to 10 years. Access up to three years real-time trade history per individual security. Corporate and agency bonds are investor loans to corporations or government-sponsored enterprises other than U.S. Treasury. Learn more about corporate and agency bonds and other bond types.
Fixed income data is compiled from multiple
Fixed Income Data is compiled from multiple sources, including but not limited to TRACE, Refinitiv, S&P, Moody’s, and Black Knight Technologies. FINRA and its information providers do not guarantee the accuracy, completeness or timeliness of the data. Individuals should not make investment or other financial decisions solely on the basis of this data. Use of this site is subject to the
