The FINRA Board of Governors will consider the following rulemaking item at its September 2014 meeting. After the September 19 meeting, FINRA will notify firms via email about the Board’s actions on this item and anticipated next steps, if any.
Equity Trading Initiatives
ATS Order Book Information
The Board will consider a proposal to require alternative trading systems (ATSs) to provide FINRA
FINRA Requests Comment on a Proposal to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies
Thank you, Elisse, and thank you all for being here tonight. I am honored by your presence. Over the years, I've learned that the most precious commodity these days is time, so I am very grateful that you have taken the time to be here this evening.
NASD Rule 1060 exempts from NASD registration requirements individuals registered as floor members with a national securities exchange whose investment banking or securities functions are related solely and exclusively to effecting transactions on the floor of a national securities exchange. Staff interprets "floor members" for purposes of the rule to include individuals working on the floor of the NYSE and registered with the NYSE as sales assistants.<br/>
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS JULY 1, 1988.
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed amendment to Article III, Section 21 of the NASD Rules of Fair Practice. The amendment would require the marking of customer order tickets to reflect the dealers contacted by members and the quotations received to determine
Frequently Asked Questions (FAQ) regarding the purpose of FINRA Rule 3230 and “do-not-call-lists”
Exemptive relief is granted based on: the representation that the acquiring firm did not engage in the soliciation of business and the individual was not, at the time, considered to be an MFP as defined; the acquiring firm did not have knowledge of the contribution and the contribution has been returned; the municipal securities business relationships of the acquired firm were long standing and existed prior to the contribution; the firm has instituted extensive information barriers on certain municipal business communications; the individual involved will be prohibited from the solicitation of new municipal securtiies business for a period of time.
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of February 21, 2002, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
AELU.GB
American Cellular Corp.
9.
Important Year 2000 Information
Based on milestones published by the Securities Industry Association (SIA), securities firms at this time should have a comprehensive Year 2000 program plan in place and be actively certifying third-party products and service providers for Year 2000 readiness. Firms also need to begin completing the repairs to any of their internal applications and testing these
INFORMATIONAL
Trade Date — Settlement Date
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date — Settlement Date Schedule
Veterans' Day And Thanksgiving Day: Trade Date — Settlement Date Schedule
The schedule of trade dates-settlement dates below
