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FINRA Termination of CTCI Protocol for Reporting Trades to TRACE and ORF
This is a reminder that beginning Monday, March 16, 2020, FINRA will no longer support the reporting of transactions to its TRACE and OTC Reporting Facility (ORF) products via the CTCI protocol. Any client, including Service Bureaus, that currently utilizes CTCI and wishes to continue to deliver electronic transactions (i.e. not via TRAQS) must migrate to the FIX protocol by Monday, 
Notice to Members 01-19
INFORMATIONAL The PORTAL Market Effective Date: June 16, 2001 For PORTAL Equity Securities SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Registered Representatives Senior Management Technology Trading & Market Making
Notice to Members 04-87
INFORMATIONALTrade Date–Settlement DateThis version corrects the Trade Dates and Settlement Dates for Columbus Day 2005.SUGGESTED ROUTINGKEY TOPICSInternal AuditLegal and ComplianceMunicipal/Government SecuritiesOperationsTrading and Market Making Holiday Trade Date–Settlement Date Schedule Martin Luther King, Jr., Day:Trade Date–Settlement Date ScheduleThe Nasdaq Stock Market®
Notice to Members 01-82
INFORMATIONAL Trade Date — Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date—Settlement Date Schedule Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule The Nasdaq Stock Market® and the securities exchanges will be closed
Frequently Asked Questions About Exemption Reporting Under SEA Rule 15c3-3(k) for Purposes of FOCUS Reporting and Updating of Membership Agreements
Exemption Reporting Under SEA Rule 15c3-3(k) - Frequently Asked Questions
Regulatory Notice 17-36
SEC Approves Rule Amendment to Create a New TRACE Security Activity Report and End-of-Day TRACE Transaction File
5330. Adjustment of Orders
(a) A member holding an open order from a customer or another broker-dealer shall, prior to executing or permitting the order to be executed, reduce, increase, or adjust the price and/or number of shares of such order by an amount equal to the dividend, payment, or distribution on the day that the security is quoted ex-dividend, ex-rights, ex-distribution, or ex-interest, except where a cash
7370. Violation of Reporting Rules
Failure of a Participant or person associated with a Participant to comply with any of the rules or requirements of the System may be considered conduct inconsistent with high standards of commercial honor and just and equitable principles of trade, in violation of Rule 2010. Amended by SR-FINRA-2008-057 eff. date Dec. 15, 2008. Adopted by SR-FINRA-2008-021 eff. date Dec. 15, 2008.Selected
Private Placements
Broker-dealers that recommend or sell private placements have additional requirements under FINRA and SEC rules. These requirements include:Filing certain offering documentsEnsuring the suitability of any investments they recommendFiling RequirementsTwo FINRA rules require firms to file certain offering documents and information about the issuer, the offering terms, and the firms selling the
Notice to Members 06-73
INFORMATIONAL 2007 Trade Date—Settlement Date Schedule SUGGESTED ROUTING KEY TOPICS Internal Audit Legal and Compliance Municipal/Government Securities Operations Trading and Market Making Holiday Trade Date—Settlement Date Schedule Martin Luther King, Jr., Day: The NASDAQ Stock Market® and the securities exchanges will be closed on