TO: All NASD Members and Other Interested Persons
Attention: Direct Participation Programs Department
The Association's Board of Governors has approved a proposed amendment to Appendix F to Article III, Section 34 of the Rules of Fair Practice which would prohibit sponsors of direct participation programs from offering non-cash sales incentives to NASD members and their associated persons.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 19, 1985, 100 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,472. These 100 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
April 19, 2001The March 7, 2001 edition of the OATS Reporting Technical Specifications states that the Order Received Date field on the New Order, Route, Cancel, Cancel/Replace, Desk, Execution, Combined Order/Execution and Combined Order/Route reports has been appended to include the time in the hhmmss format. This modification was installed to allow firms to more easily identify orders uniquely
Summary
FINRA has received reports about increasing numbers and sophistication of ransomware incidents. Ransomware typically involves bad actors gaining unauthorized access to firm systems and encrypting or otherwise accessing sensitive firm data or customer information, then holding that hijacked data for ransom. Some ransomware attacks have become significant threats that include theft of data
These days, it's not a matter of if, but when, when it comes to cybersecurity incidents, which is why it's essential for all firms to ensure they're prepared for the inevitable. On this episode, we're catching up with two members of FINRA's Complex Investigations and Intelligence Team for an update on the cyber threat landscape and what firms should be thinking about and doing in response to the latest trends.
On Monday, July 18, 2016, FINRA will implement changes and enhancements to TRACE trade reporting and dissemination.
<p>Letter addresses circumstances under which persons must report events involving a fixed annuity insurance product.</p>
INFORMATIONAL
Corporate Financing
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Internal Audit
Legal & Compliance
Operations
Senior Management
Filing Fees
NASD Rule 2710
Underwriting Compensation
Executive Summary
Effective January 1, 2001, the National Association of Securities Dealers, Inc. (NASD®) will deduct delinquent Corporate Financing filing fees from
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/>
Supervisory activities requiring registration as an Equity Trader.<br/>
