Beginning in early December 2022, FINRA will introduce changes to the Trade Data Dissemination Service (TDDS 2.0).1 These changes are being made in concert with FINRA’s technical infrastructure upgrade, and TDDS clients should plan to accommodate them.
FINRA has updated the TDDS specification to correspond with these changes and has also included the link to the MOLD/UDP 64 specification in the
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The NASD published the following Notices to Members during 1996. Duplicate copies are available at $25 per monthly or special issue. A 2-volume bound-set,
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).
GUIDANCE
Mutual Fund Performance Sales Material
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Rule 2210
Rule 2211
Executive Summary
On July 5, 2006, the Securities and Exchange Commission (SEC)
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).
In coordination with the SEC and the CFTC, we are conducting a review of the impact of Hurricane Sandy on firms’ operations and their ability to conduct business at a time when business continuity plans were enacted.
INFORMATIONAL
OTC Bulletin Board
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OTC Bulletin Board
Eligibility Rule
The Suggested Routing function is meant to aid the reader of this
Beginning Monday, November 6, 2023, as described in Regulatory Notice 22-28, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE. FINRA has updated the TRACE Web API Specifications for Corporate and Agency Debt and the TRACE OTC Corporate Bonds and Agency Debt User Guide to align with these changes. Firms reporting to TRACE via FIX
This rule is no longer applicable. Incorporated NYSE Rules have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
(a) Members and member organizations must furnish the Exchange with all of the profile information required by the Exchange's Electronic Filing Platform ("EFP"), and must comply with any Exchange request for
(a) Applicability
This Rule applies to claims that request expungement of customer dispute information filed by an associated person against a member firm, pursuant to Rule 13805. Except as otherwise provided in this Rule, all provisions of the Code apply to such claims.
(b) Selection of Panel
(1) The list selection algorithm shall randomly select three public arbitrators who are eligible for
