Comment Period Expires March 31, 1994
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceRegistrationTrading
Executive Summary
At its January 1994 meeting, the NASD Board of Governors approved the issuance of a Notice to Members soliciting comment on amendments to the foreign associate provisions in Part X of Schedule C to the NASD By-Laws. These amendments would
Heightened Supervision of Complex Products
Pursuant to FINRA Rule 6191(b)(4)(B), FINRA publishes aggregated Market Maker Profitability data on a monthly basis at no charge. FINRA does not identify the market makers that generated the data or the individual securities.
FINRA aggregates and publishes the following data categorized by Control Group and each Test Group:
market maker profitability statistics for market makers for
IMPORTANT
TO: All NASD Members and Other Interested Persons
Over the past several months, some questions have arisen relating to members' procedures when executing transactions for their own accounts while in possession of unexecuted customer limit orders for over-the-counter securities. In May 1984, the NASD Board of Governors appointed an Ad Hoc Committee on Limit Orders to review members
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, November 20, 1984, 40 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,142. These 40 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
This data provides aggregate market activity for corporate bonds, agency bonds and 144a bonds (144a bonds are private placement securities subject to SEC Rule144A), using end-of-day data for days the system is open. Data is not available for days the system is closed. Please refer to Systems Calendar. (View the data for multiple days simultaneously here.) Learn more about bonds.
The advances,
Sec. 8.1 The Board shall establish boundaries for districts within the United States to assist FINRA Regulation in administering its affairs in a manner that is consistent with applicable law, the Restated Certificate of Incorporation, these By-Laws, the Delegation Plan, and the Rules of the Corporation. The Board may organize the districts into regions to promote efficiency and sound
FINRA may, upon notice, terminate access to the trade reporting service of the System as to a Participant in the event that a Participant fails to abide by any of the rules or operating procedures of the trade reporting service of the System or FINRA, or fails to honor contractual agreements entered into with FINRA or FINRA Regulation, or fails to pay promptly for services rendered by the trade
(a) No member or person associated with a member shall execute or cause to be executed, directly or indirectly, a transaction otherwise than on an exchange in a security subject to an initial public offering until such security has first opened for trading on the national securities exchange listing the security, as indicated by the dissemination of an opening transaction in the security by
(a) One or more parties may name one or more respondents in the same arbitration if the claims contain any questions of law or fact common to all respondents and:
• The claims are asserted against the respondents jointly and severally; or
• The claims arise out of the same transaction or occurrence, or series of transactions or occurrences.
(b
