The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
Staff in FINRA’s Regulatory Review and Disclosure unit must review and approve all proposed names for firms applying for FINRA membership and for current FINRA member firms seeking a name change. A firm may reserve a name by submitting a completed Firm Name Reservation Request Form.Note: FINRA does not research names for use as Doing Business As (DBA) in states, and the Firm Name
Executive Summary
This Notice advises broker-dealers engaged in the business of agency securities lending that the Agency Lending Disclosure Taskforce (Industry Taskforce), composed of, among others, representatives of the securities industry, regulators, and the Depository Trust & Clearing Corporation (DTCC), has recommended, through its Agency Lending Disclosure Initiative, certain
FINRA has delayed the launch for the expansion of summary data relating to over-the-counter (OTC) equity trading that FINRA publishes on its website. The revised date for this information to become available will be Monday, December 2, 2019.
Beginning on December 2, 2019, FINRA will provide:
new monthly aggregate block-size trading data for OTC trades in NMS stocks executed outside an
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of September 28, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
SINC.GB
Sinclair Broadcast
10.000
9/30/05
OWI.GA
Owens-Ill
10.
1. Which exams can I take online without meeting additional requirements?
Online test delivery is available to candidates with open enrollment windows for the Securities Industry Essentials (SIE) exam. For all other exams, please review the Schedule an Exam page for instructions.
2. What are the criteria to take exams other than the SIE online?
Effective June 9, 2023, the criteria to
eFOCUS System Updates Applicable to Joint Broker-Dealers/Futures Commission Merchants
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 10, 1994. On this day, The Nasdaq Stock MarketSM and the securities exchanges will be open for trading. However, it will not be a settlement date because many of the nation's banking
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
NASD Regulation, Inc. (
While I am not 100% opposed to new regulation on these complex products, I do want to caution that this could cause unintended consequences. For example, if I could not access leverage through options or through leveraged ETP's, both of my brokers currently charge me 8% or more on margin interest.
How does this help me to pay over 7% more than the Fed Funds rate? It helps and protects
