Displaying 6731 - 6740 of 8816 Results
TRACE BTDS 144A Transaction Specification
FINRA’s 144A Dissemination ServiceSM (144ASM) broadcasts last sale price and other relevant trade data for U.S. dollar-denominated private placement, investment grade and high yield corporate bonds to authorized market data vendors.
Notice to Members 04-21
GUIDANCEAffirmative Determination RequirementsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativeLegal & ComplianceOperationsNASD Rule 3370Short Sale RuleAffirmative DeterminationExecutive SummaryOn November 14, 2003, the Securities and Exchange Commission (SEC) approved amendments to Rule 3370 (Prompt Receipt and Delivery of Securities—the "affirmative
Regulatory Notice 13-12
FINRA Adopts Amendments Relating to Regulation NMS Plan to Address Extraordinary Market Volatility
Regulatory Notice 10-13
SEC Approves Amendments to the FINRA Rule 9550 Series Governing Expedited Proceedings
OATS Report - April 15, 2002
April 15, 2002 The April 8, 2002 Order Audit Trail System (OATS) Release includes a change in how the Account Type Code field will be handled by OATS. The Account Type Code field is now a required field for any electronically received orders reported by Non-ECN member firms. Those electronically received orders not containing a valid Account Type Code will be rejected with the rejection
Notice To Members 93-57
SUGGESTED ROUTING Senior ManagementInternal AuditOperationsTrading On June 30, 1988, the maximum Small Order Execution System (SOESSM) order size for all Nasdaq National Market® securities was established as follows: A 1,000-share maximum ordersize was applied to those Nasdaq National Market securities that had an average daily nonblock volume of 3,000 shares or more a day, a bid
Notice To Members 87-32
TO: All NASD Members and Other Interested Persons LAST DATE FOR COMMENT: JUNE 30, 1987. EXECUTIVE SUMMARY The NASD requests comments on a proposed amendment to Schedule D to the NASD By-Laws that would make an issuer ineligible for initial or continued inclusion in the NASDAQ System if it issues securities or takes corporate action that would have the effect of nullifying, restricting, or
Regulatory Notice 15-51
Submission of "Clearing-Only, Non-Regulatory Reports" to the FINRA Equity Trade Reporting Facilities
Notice to Members 02-55
REQUEST FOR COMMENT Regulation of IPO Allocations and Distributions Comment Period Expires: September 9, 2002. SUGGESTED ROUTING KEY TOPICS Corporate Financing Legal & Compliance Registered Representatives Senior Management Trading & Market Making Flipping IPO Allocations NASD Rule 2710 NASD Rule 2712 Penalty Bids Spinning Underwriting Compensation
Regulatory Notice 13-33
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update