INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Legal/Compliance Retail Senior Management
Hedge Funds Funds of Hedge Funds Suitability Due Diligence Internal Controls Supervision Training
Executive Summary
As a result of a recent review of members that sell hedge funds and registered products (closed-end funds) that invest in hedge funds ("funds of hedge funds"),
Release DateSystemAreaDescriptionJune 11, 2025FINRA GatewayFirm Profile“Event History” now supports the ability to view the XML for the filings (“View XML”) submitted by firms from the existing PFRD application.The “Event History” will only display the processed or submitted filings from the PFRD application. The filings that were Pending will no longer be displayed.May 19, 2025FINRA
Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill two large firm seats and one small firm seat on the National Adjudicatory Council (NAC), and to announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies. Eligible individuals not nominated by the Nominating Committee who obtain the requisite
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On March 1, 1991, the SEC approved an NASD proposal to amend Schedule H to the NASD By-Laws to eliminate the current reporting thresholds of $10,000 or 50,000 shares so that the reporting requirements of Schedule
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
Initial plans for Nasdaq® decimalization testing are included in this Notice to Members. Also, a summary is provided of the industry critical dates.
Questions/Further
Outside directors of broker/dealers must register as principals if they wish to participate in the day-to-day conduct of members' securities businesses and the implementation of corporate policies related to such businesses.<br/>
The NASD would like to thank the Subcommittee for this opportunity to testify on organized crime in the securities markets, the scope of the problem and our efforts to address it.
This Second Amended and Restated Limited Liability Company Agreement of the FINRA/NYSE Trade Reporting Facility LLC (the "Company") (together with the schedules attached hereto, this “Agreement”), dated as of Sept 13, 2017, that replaces the First Amended and Restated Limited Liability Company Agreement of FINRA/NYSE Trade Reporting Facility LLC, between the NYSE Market, Inc. and
Fingerprint results are posted to an individual’s CRD record typically within 24-36 business hours after FBI receipt.Entitled users can view the status of fingerprint submissions in FINRA Gateway and CRD by selecting the Show Statuses button and accepting the special Terms and Conditions to view the FBI results. Viewing Criminal History Record Information (CHRI) requires the additional “View CHRI
TRACE Enhanced Historical Data consists of transaction-level information including the price, the date and time of execution, transaction size and the yield. The data includes information previously not disseminated to the public, such as buy/sell indicators, counterparty (dealer or customer) information, and the full volume of each transaction. FINRA makes historical data available 6 months
