SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTradingTraining
Executive Summary
On February 26, 1993, the Securities and Exchange Commission (SEC) approved amendments to Schedule D that require members to append a fifth-character location indicator to their market-maker identification symbol (MMID) in securities that are traded at a location away from the primary
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 12, 1992. On this day, securities exchanges and The Nasdaq Stock Market™
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
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Executive Summary
In mid-January, the Securities and Exchange Commission (SEC) approved a revised NASD Manual. To facilitate your adjustment to this new Manual, which is scheduled for publication and dissemination this May, we have included a Guide to the Manual: New-to-Old Conversion Chart and Old-to-New Conversion Chart. This material outlines the reorganized Manual and indicates where the
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veteran's Day, Monday, November 12, 1990. On Monday, November 12, the NASDAQ system and the
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 8, 1990. On this day, the NASDAQ system and the exchange markets will be
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Trading
Training
Executive Summary
On January 7, 1997, in Release No. 34-38132, the Securities and Exchange Commission (SEC) approved NASD® rules permitting the quotation of Direct Participation Programs (DPPs or limited partnerships) in the OTC Bulletin Board® Service (OTCBB) and requiring all
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 9, 1989. On this day, the NASDAQ System and the exchange markets will be
FINRA Rule 5310 (Best Execution and Interpositioning) requires that, in any transaction for or with a customer or a customer of another broker-dealer, a member and persons associated with a member shall use reasonable diligence to ascertain the best market for the subject security, and buy or sell in such market so that the resultant price to the customer is as favorable as possible under prevailing market conditions.
