GUIDANCE
Market Order Protection
Effective Date: January 9, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
Trading
IM-2110-2
Manning Rule
Market Orders
Rule 2111
Executive Summary
In October 2005, NASD issued Notice to Members (NTM) 05-69
informing members of Securities and Exchange Commission (SEC)
Last Voting Date: May 31, 1994
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
The NASD invites members to vote on proposed amendments to Article III of the NASD By-Laws and to Part I of Schedule C to the By-Laws to require that initial application for NASD membership be reviewed by a Subcommittee designated by the District Committee, with right of appeal
INFORMATIONAL
Member Surcharges And Process Fees In Arbitrations
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Arbitration Fees
Code of Arbitration Procedure
Executive Summary
The Securities and Exchange Commission (SEC or Commission) has approved increases to the member surcharges and process fees paid by member
FINRA reminds members that option holders who hold expiring options have until 5:30 p.m. Eastern Time (ET) on the day of expiration to make a final exercise decision to exercise or not exercise the option.1 Members may establish an earlier time to accept exercise instructions for customer or non-customer accounts but may not accept instructions after 5:30 p.m. ET.2 Members
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Senior Management
Advertising
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Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
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Municipal
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Operations
Options
Registered
The national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 29, 2019 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options. FINRA reminds firms that pursuant to FINRA Rule 2360(b)(23)(A)(viii), if a national options exchange or The Options Clearing Corporation announces a modified time for the close of trading in
INFORMATIONAL
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
The Securities and Exchange Commission (
Remarks From FINRA Fixed Income Conference
Summary
FINRA has amended the requirements relating to Covered Agency Transactions that FINRA originally adopted in 2016. Covered Agency Transactions include (1) To Be Announced transactions, inclusive of adjustable rate mortgage transactions, (2) Specified Pool Transactions and (3) transactions in Collateralized Mortgage Obligations, issued in conformity with a program of an agency or
Thank you for that kind introduction. It's a pleasure to be here with you this morning. Two weeks ago, I had the opportunity to speak at the Museum of Financial History.
