SUGGESTED ROUTING*
Senior Management
Legal &Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved an amendment to Article VIM, Section 5 of the NASD By-Laws that will expedite the
FINRA Reminds Alternative Trading Systems (ATSs) and ATS Subscribers of Their Trade Reporting Obligations in TRACE-Eligible Securities
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
The schedule of trade dates/settlement dates below reflect the observance by the financial community of Martin Luther King, Jr.'s Day, Monday, January 21, 1985. On Monday, January 21, 1985, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a settlement date
FINRA Requests Comment on a Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications With the Public
TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the second quarter of 1984. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006.
Notice Number
Date
Topic
84-21
April 3, 1984
Adoption of a New Rule of
The Neutral Corner - Volume 4—2018
Mission Statement
Year End Message
Ken Andrichik Retirement
Ten Tips for Effective Securities Mediation (by James Yellen and Edward Larkin)
Office of Dispute Resolution and FINRA News
Case Filings and Trends
DR Portal Enhancements
FINRA Arbitrator Travel Policy
New Director of Mediation: Manly Ray
Closing the Miami
Get involved with FINRA. Submit comments, join committees or the Board, speak at events and access resources to protect investors.
INFORMATIONAL
Decimalization Testing
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
Recently the National Association of Securities Dealers, Inc. (NASD®) announced that selected NASD member firms must participate in
Neutral Corner - October 2007
FINRA is concerned about the little investor using leveraged ETFs? This is not about protecting the little investors. It's about what some large investment firms want. This is the second assault on these investment products. Back in December of 2015 the SEC Chair Mary Jo White tried to rein in leveraged index funds. It's funny the concern over the individual investors when back in 1999
