Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Proposed Rule Change Relating to Reporting and Market Participant Identifier Requirements for Alternative Trading Systems
Proposed Rule Change to Revise the General Securities Representative (Series 7) Examination
Use FINRA Gateway Reports to retrieve individuals at your firms by deficiency type.
We will explain:
How to use Columns to customize your view of the Active Individuals Roster
How to Group individuals at your firm by deficiency
How create a list of individuals by a particular type of deficiency
How to save as a Custom Report
Open and Navigate the Active Individuals Roster
Log in to
For Your Information
Filing Due Dates For Web-Based FOCUS, Annual Audits, Customer Complaint Information, And Short Interest Reporting
NASD Regulation, Inc. reminds member firms of their obligation to file the appropriate Web-Based FOCUS reports, Annual Audits, Customer Complaint information, and Short Interest Reporting by the specified due dates. The following schedules outline due dates for
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of January 27, 1992, the following 43 issues joined the Nasdaq National Market, bringing the total number of issues to 2,690:
Symbol
Company
Entry Date
SOES Execution Level
PRFM
Perfumania, Inc.
12/19/91
500
MSMR
Missimer &
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of August 23, 1991, the following 53 issues joined Nasdaq/NMS, bringing the total number of issues to 2,605:
Symbol
Company
Entry Date
SOES Execution Level
VRTX
Vertex Pharmaceuticals Incorporated
7/24/91
1000
CATH
Catherines Stores
SEC Approves Changes to Reduce the Waiting Period for the Release of Information Reported on Form U5 Through BrokerCheck
Did you receive an unexpected check in the mail and think, “Great! Free money?” Not so fast. Cashing that unexpected “windfall” may result in losses, reveal your personal financial information to scammers, or both.
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
To protect investors and the public interest, and to respond to concerns raised by the Securities and Exchange Commission (SEC), the NASD filed
