INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Operations
Registration
Senior Management
Continuing Education
IM-1000-2
Executive Summary
NASD Regulation, Inc. (NASD Regulation) has adopted amendments to National Association of Securities Dealers, Inc. (NASD®) IM-1000-2 to codify the staff's
REQUEST FOR COMMENT
Order Audit Trail System (OATS)
Comment Period Expires: January 20, 2005
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
OATS
Executive Summary
NASD is issuing this Notice to Members to solicit
ACTION REQUIRED
Electronic Filing Requirements
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Electronic Filing Requirements
NASD Rule 3170
NASD Advises Firms That Certain Notices Required
under the Securities Exchange Act of 1934 Must Be Filed
Electronically Starting on January 1, 2007
Executive Summary
The Securities and Exchange
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, November 3, 1987, the following 15 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,087:
Symbol*
Company
Location
BMED
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 6, 1987, the following 17 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,063.
Symbol*
Company
Location
ARTW
Kym Weiland, Senior Vice President, Delivery Services Technology at FINRA, brings over 20+ years of diversified experience that encompasses Incident Management, Change Management, Cloud Resiliency, Site Reliability Operations and Monitoring. She currently leads a multi-disciplinary team of leaders and professionals who manage end user support, cloud management, production operations, monitoring
Feral Talib is an Executive Vice President and the Head of Surveillance and Market Intelligence in FINRA’s Market Regulation and Transparency Services (MRTS) department, with responsibility for leading FINRA’s market surveillance programs.Mr. Talib was previously the Global Head of Market Surveillance at BNP Paribas Group. In that role, he had strategic leadership of all market surveillance
(a) When a member has actual notice that a FINRA employee has a financial interest in, or controls trading in, an account, the member shall promptly obtain and implement an instruction from the employee directing the member to provide duplicate account statements to FINRA.
(b) Members shall not directly or indirectly make any loan of money or securities to any FINRA employee. However,
Qualification Examinations Restructuring
Regulatory Notice
Notice Type
Request for Comment
Referenced Rules & Notices
FINRA Rule 8310
NASD Rule 1031
NASD Rule 1032
NASD Rule 1070
Suggested Routing
Compliance
Legal
Operations
Registration
Senior Management
Training
Key Topics
Central Registration
SummaryThe national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 24, 2023 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options. FINRA reminds firms that, pursuant to FINRA Rule 2360(b)(23)(A)(viii), if a national options exchange or The Options Clearing Corporation announces a modified time for the close of trading
