SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsRegistrationTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has approved, effective immediately, an amendment to Schedule C of the NASD By-Laws that would allow persons registered with The Securities Association of
Summary
FINRA requests comment on a proposal to expand TRACE reporting requirements to collect information on trades in foreign sovereign debt securities that are U.S. dollar-denominated. Issuance activity in these debt securities has accelerated in recent years and FINRA believes the proposal would provide important regulatory information on an increasingly active segment of the market. Under
FINRA has made technical amendments to Forms U4, U5 and BR that, among other things, reflect the FINRA name change and update the current list of SROs, government jurisdictions and registration categories listed on the Forms.
The online Forms will be updated with the changes described below on February 4, 2008.
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
Executive Summary
On June 4, 1993, the Securities and Exchange Commission (SEC) approved amendments to Part VI, Section 2 of Schedule D to the NASD®. By-Laws to reduce excess spread parameters for Nasdaq and Consolidated Quotation Service (CQS) securities. The rule change establishes new excess spread parameters
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Fixed Income
Trading and Market Making
Sales
Senior Management
Legal and Compliance
Internal Audit
Training
Mark-Ups
Debt Securities
Rule 2440
Pricing of Debt Securities
Mark-Ups on Debt Securities
Executive Summary
On April 16, 2007, the Securities and Exchange Commission (SEC) approved IM-2440-2, "Additional Mark-Up Policy for Transactions
SUGGESTED ROUTING*
Senior Management
Institutional
Legal & Compliance
Mutual Fund
Operations
Options
Registration
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD requests members to vote on proposed amendments to Article III, Sections 2
Net Capital
Liquidity Risk Management
Credit Risk Management
Segregation of Assets and Customer Protection
Portfolio Margin and Intraday Trading NEW FOR 2022
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Market Access Rule
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Net Capital
A listing of forms related to Uniform Practice Code.
The Small Firm Virtual Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.
Agenda
View the brochure for the 2021 Small Firm Virtual Conference.
Session Recordings
Recordings of sessions are available to FINRA member firms and
Sec. 3. (a) The Corporation after 15 days notice in writing, may suspend or cancel the membership of any member or the registration of any person in arrears in the payment of any fees, dues, assessments, or other charges or for failure to furnish any information or reports requested pursuant to Section 2 .
(b) The Corporation after 15 days notice in writing, may suspend or cancel the
