Proposed Rule Change to Make Non-Substantive Technical Changes to FINRA Rule 4521
Summary
FINRA requests comment on the practice of internalizing customer trades in the corporate bond market after obtaining auction responses, commonly known as “pennying.” In particular, pennying involves a dealer, after receiving a customer order, initiating a bid or offer wanted auction process on behalf of a customer, reviewing the auction responses, and then executing the customer order
FINRA is providing a template as an optional tool to assist small introducing firms in fulfilling their obligations under FINRA Rule 4370 (Business Continuity Plans and Emergency Contact Information).
Proposed Rule Change to Amend Incorporated NYSE Rules 12 and 282 to Conform to Amendments Made by NYSE
Mary Schapiro Remarks From SEC's Third Annual Senior Summit
NASD Rule 2210 - Communications with the Public
The following is a list of firms that have consented to making public that they have filed an MC-400A Application as a result of the SEC's MCDC Initiative.
Proposed Rule Change to Amend Rule 7730 Regarding TRACE Reporting Fees For Transactions in Agency Pass-Through Mortgage-Backed Securities Traded “To Be Announced”
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of August 13, 1990, the following 35 issues joined NASDAQ/NMS, bringing the total number of issues to 2,641:
Symbol
