Executive Summary
The purpose of this Election Notice is to notify FINRA small firm members of the Small Firm Advisory Committee (SFAC) election and the distribution of ballots. Two seats on the SFAC are up for election, one representing the Midwest region and one representing the South region. FINRA small firm members1 in those regions as of the close of business on Friday, October 20, 2023,
(a) The terms used in the Rules, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws, unless a term is defined differently in a Rule, or unless the context of the term within a Rule requires a different meaning.
(b) When used in the Rules, unless the context otherwise requires:
(1) "By-Laws"
The term "By-Laws" means the
The table below provides a reference description for all of the elements found for ATS Cross Manipulation exceptions identified during the month.
Summary Report
Term
Definition
Total ATS Cross Exceptions
The total number of alert-eligible ATS Cross exceptions for the focus firm during the Surveillance Review Period. NULL values indicate that
Nomination of a Small Firm NAC Member Candidate
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend FINRA's NYSE Rules 421 (Periodic Reports), 440F (Public Short Sale Transactions Effected on the Exchange) and 440G (
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to (1) provide notice that the amendments to the Rule 4700 Series that were approved pursuant to SR-NASD-2006-104 will not be implemented; (2) implement certain amendments that were approved pursuant to SR-NASD-2006-104 upon the operation of the Nasdaq Stock Market LLC (
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to (1) delete the Nasdaq By-Laws and amend the Plan of Allocation and Delegation of Functions by NASD to Subsidiaries ("Delegation Plan"), the By-Laws of NASD, NASD Regulation and NASD Dispute Resolution, and NASD rules to reflect The Nasdaq Stock Market Inc.
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of December 23, 1999, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
AMKR.GB
Amkor Technology Inc.
9.250
