For purposes of the Rule 6800 Series:(a) "Account Effective Date" means:(1) with regard to those circumstances in which an Industry Member has established a trading relationship with an institution but has not established an account with that institution:(A) when the trading relationship was established prior to commencement of Phase 2c or Phase 2d (as applicable depending on
Last Voting Date: July 16, 1999
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Amendments to NASD Rule 3210 to Conform with Amendments to the SEC's Regulation SHO Delivery Requirements
In this second episode of a three-part series covering FINRA's crypto asset-related regulatory work, we hear from FINRA's Crypto Asset Investigations Team. This dedicated group of investigators specialize in conducting complex crypto asset investigations and share more about the crucial role it plays in ensuring compliance with existing rules and regulations in the crypto asset space.
Fractional shares offer investors an opportunity to purchase pieces of stock shares. While fractional shares can offer flexibility and convenience, it’s important to understand their associated limitations and how your brokerage firm handles them.
February 12, 2002When a firm electronically routes an order to another firm, the routing firm must pass a Routed Order ID to the firm receiving the order. As defined in the OATS Reporting Technical Specifications, the Routed Order ID is an identifier assigned to an order by the order routing firm when the order is routed. It is the Receiving firm's responsibility to identify, record and
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of April 23, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
AG.GB
AGCO Corp
9.500
05/01/08
BEPA.GD
BE Aerospace
Executive Summary
Effective July 1, 1996, NASD Regulation, Inc. (NASD Regulation) will begin accepting appointments at the Certification and Training Center in London, England, at which registered representatives can complete the computer-based training required under the Regulatory Element of the securities industry Continuing Education Program (CEP). Also effective July 1, NASD Regulation
Summary
FINRA is issuing this Notice to remind firms of their obligations when submitting step-outs to FINRA. While step-out submissions are voluntary and not required by rule, if firms elect to use a FINRA equity trade reporting facility to step out of a previously reported trade, they must comply with applicable trade reporting requirements.
Questions regarding this Notice may be directed to
On November 5th, 2022, FINRA will be modifying the Statistics data on the OTC Transparency Data website to enhance the amount of information that is available to its users. Currently, there are two Statistics tabs, one each for ATS and Non-ATS data. Each tab contains aggregated share and trade counts for CTA, UTP and OTCE securities. Moving forward, the two tabs will be combined into one and will
