SUGGESTED ROUTING:*
Senior ManagementInternal AuditOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market securities was established as follows:
A 1,000-share maximum order size was applied to those Nasdaq National Market securities that
Proposed Rule Change to Adopt FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook
What's New In E-Bill?April 2024E-Bill is now integrated into FINRA Gateway. FINRA's financial system enables entitled users to view financial details, submit payment to firm accounts and invoices, and create transaction reports. Users can access the new E-Bill experience by logging in to FINRA Gateway or navigating through other systems (for example, FPRD).For more information, please
Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Adopt a New Provision in Connection with the Limit Up-Limit Down Plan
2006—2007 Filing Due Dates
NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports by their due dates. The following schedule outlines due dates for 2006 reports that have 2007 due dates, and for 2007 reports. Questions regarding the information to be filed can be directed to
Where there is uncertainty, there are always bets—the question is who wins. From horse racing to the price of gold, people have always speculated on uncertainty. Insurance-linked securities (ILS) are financial instruments that allow investors to speculate on a variety of events, including catastrophes such as hurricanes, earthquakes and pandemics.
SUGGESTED ROUTING
Senior Management
Institutional
Internal Audit
Legal & Compliance
Operations
Systems
Trading
Training
Executive Summary
In the following document, the National Association of
Read FINRA President and CEO Robert Cook’s email to firms and watch the video report with highlights from the Board of Governors meeting.
Special Election to Fill FINRA Large Firm Governor Vacancy
Proposed Rule Change to Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees
