ACTION REQUESTED
Intermarket Surveillance Group
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Blue Sheets
Executive Summary
This Notice to Members discusses new uniform provisions regarding the automated reporting requirement for Electronic Blue Sheets (EBS).
Effective August 8, 2001 all members were required to:
(1)
TO: All NASD Members and Level 2 and Level 3 Subscribers
An additional 16 securities will join the 570 already trading in the NASDAQ National Market System on Tuesday, November 8, 1983. (The 570 include the 50 issues scheduled to join NMS on October 18.) These securities have met the NMS mandatory designation requirements, which include an average trading volume of 600,000 shares a month for six
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On June 6, 1984, the United States District Court for the District of Oregon appointed a SIPC Trustee for the above captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i) of the NASD's Uniform Practice Code to close-out open OTC contracts. Also, MSR8 Rule G-12
TO: ALL NASD MEMBERS
ATTN: Operations Officer, Cashier,, Fail-Control Department
On January 31, 1984, the United States District Court for the Central District of California appointed a SIPC trustee for the above captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i) of the NASD's Uniform Practice Code to close-out open OTC contracts.
As part of its Transparency Services improvement initiatives, beginning in December 2022, FINRA will re-platform the FINRA OTC Reporting Facility (ORF) to a new Linux-based operating system.1 This update is in addition to the Trade Data Dissemination Service (TDDS) protocol changes FINRA previously announced.
ORF currently supports timestamps up to milliseconds. Effective December 5, 2022, ORF
How FINRA Assesses Performance of its Machine Learning Models
Data science has come a long way in the past 10 years. As machine learning projects become productionized, they look increasingly like software projects. Focus has shifted from presenting charts to integrating AI software into a production pipeline. There is still plenty of work in the former scenario, but the latter has become more
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual FundRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The second session of the 102nd Congress, which adjourned on October 9, 1992, passed only one major bill of direct interest to the securities industry, the Futures Trading Practices Act. Other proposed
As described in a December 2019 TRACE Technical Notice, beginning June 1, 2020, members were required to begin to report transactions in U.S. Treasury Securities executed to hedge a List or Fixed Offering Price Transaction or a Takedown Transaction (as defined in FINRA Rule 6710) with an appropriate identifier.
Due to current market conditions, and to allow members to adequately plan
The Best Execution topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
The Portfolio Margin and Intraday Trading topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
