Executive Summary
On December 28, 1995, the National Association of Securities Dealers, Inc., (NASD) filed with the Securities and Exchange Commission (SEC) for its approval rules governing members conducting business on the premises of a financial institution (proposed rules). The proposed rules focus on issues of investor confusion involving the purchase of uninsured securities products and,
SUGGESTED ROUTING
Corporate Finance
Legal & Compliance
Operations
Syndicate
Trading
Executive Summary
On June 27, 1997, the Securities and Exchange Commission (SEC) approved amendments to NASD® Rules 4611(d) and 4612(g) with regard to market maker registration and Primary Market Maker (PMM) eligibility by managers and co-managers of secondary offerings.
SUGGESTED ROUTING:*
Legal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has approved changes to Form BD, the Uniform Application for Broker/Dealer Registration. The amendments, developed in consultation with the NASD, North American Securities Administrators
FINRA ("FINRA") respects the intellectual property rights of others and expects its users to do the same. In accordance with the Digital Millennium Copyright Act of 1998, the text of which may be found on the U.S. Copyright Office website at http://www.copyright.gov/legislation/dmca.pdf, FINRA will respond expeditiously to claims of copyright infringement committed using the FINRA
This data provides comprehensive information on to-be-announced (TBA) securities that traded within the past 10 years. A TBA security is effectively a contract to buy or sell mortgage-backed securities on a specific date.
The FINRA Certified Regulatory and Compliance Professional (CRCP)® Small Firm Scholarship Program was developed to facilitate participation from small firms—those with 150 or fewer registered representatives. The CRCP® Small Firm Scholarship is awarded to five industry professionals from small firms.To be eligible for the CRCP Small Firm Scholarship, applicants
This data provides trade activity for asset-backed securities (ABSs) for up to 10 years. An ABS offers returns based on the repayment of debt owed by a pool of consumers. Access up to three years real-time trade history and seven years end-of-day trade history per individual security. Learn more about ABSs and other bond types.Fixed Income data is compiled from multiple sources, including but not
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Systems
Trading
Executive Summary
On May 19, 1995, the Securities and Exchange Commission (SEC) approved an expansion of the Interpretation to Article III, Section 1 of the NASD Rules of Fair Practice that prohibits a member firm from trading ahead of customers' limit orders in a firm's
Summary
This Notice provides information to assist market participants in understanding the short sale volume data published on FINRA’s website. FINRA is aware that some market participants, including investors, may occasionally perceive the percentage of short sale volume to be unusually high or inconsistent with reported short interest data. This perception may cause market participants to
