ACTION REQUIRED
Broker/Dealer, Investment Adviser, And Agent Renewals
Payment Deadline: December 7, 2001
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Executive Summary
The National Association of
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Executive Summary
On December 3, 1998, the
Proposed Rule Change to Require Members to Report the Factor to TRACE in Asset-Backed Security Transactions (except if traded TBA), in the Limited Instances When Members Effect Such Transactions as Agent and Charge a Commission
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As published in NASD Notice to Members 98-77 (September), Article IV, Section 3 of the National Association of Securities Dealers, Inc. ( NASD®) By-Laws has been amended. This By-Law change, which takes effect January 1, 1999,
NASD has filed with the SEC a proposed rule change to amend Rule 10304 of the NASD Code of Arbitration Procedure relating to time limits on the submission of claims in arbitration.
Summary
FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Statements in E-Bill as well as view the reports that are currently available in CRD/IARD for the annual registration renewal process. The payment deadline is January 22, 2021.
Please direct questions concerning this Notice to the FINRA Call Center at (301) 869-6699.
Background & Discussion
ACTION REQUESTED
Proposed Recordkeeping And Reporting Requirements Of Certain Quotations
Comment Period Expires: April 10, 2000
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Executive Summary
NASD Regulation, Inc. (NASD
INFORMATIONAL
Decimalization
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Decimalization
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) and the exchanges recently submitted a decimalization plan to the Securities and
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend its rules to delete the three party trade report provisions from the NASD/NYSE TRF rules and to conform the two party trade
Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions)
