SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a new Section 46, Article III of the Rules of Fair Practice regarding adoption of a short-sale rule or "bid test
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Mutual Fund
Executive Summary
On May 29, 1998, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc.(NASD®) Rule 3110 (the Books and Records Rule) that (i) change the definition of "institutional account" to include the accounts
These days many investors are trading online, whether through the Internet or through other electronic means, such as a mobile app. This may sound pretty straight forward, but there continues to be some common misconceptions about online trading. Here are four myths in need of busting.
FINRA Requests Comment on the Reduction of the Delay Period for Historic TRACE Data
The purpose of this form is to make sure that you understand and acknowledge the rules of conduct you must follow in completing this session. You must read and agree to this before you will be permitted to start your session.
The National Securities Exchanges and FINRA Issue Joint Guidance on Clock Synchronization and Certification Requirements Under the CAT NMS Plan
The number of arbitrators appointed to a case depends on the amount and type of relief requested in the Statement of Claim.
The Trading and Market Making Surveillance Examinations (“TMMS”) group of the Market Regulation Department at the Financial Industry Regulatory Authority (“FINRA”) is conducting a review for compliance with the requirements of FINRA Rule 5320 (“Rule 5320”).
Maintaining Your Registration Once you are registered or employed by a firm, you must comply with FINRA rules, federal and state securities regulations, and your firm’s policies to maintain your registration
The following are details of FINRA's policy for the retransmission of FDIC-Backed bonds available via the BTDS (corporate bond) data feed.
