TRACE data is available from a number of market data vendors, both via display applications and data feeds (and/or FTP files). Below is a partial listing of market data vendors that make TRACE data available as part of their service(s). Additional vendors may exist but have elected not to be listed. Please note the information presented has been provided to the Financial Industry Regulatory
Reminder to NASD Members – Transactions with NASD and American Stock Exchange Employees; Filing of Annual Attestation Required by Rule 2711 – Research Analysts and Research Reports
Firms are able to file full or partial withdrawals of registration by submitting Form BDW, the Uniform Request for Broker-Dealer Withdrawal.Partial WithdrawalA partial withdrawal ends registration with one or more specified jurisdictions and/or self-regulatory organizations (SROs), but not with the U.S. Securities and Exchange Commission (SEC). Registration with at least one SRO and jurisdiction
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Good Friday, April 1, 1983. "Regular-Way" transactions made on the business days immediately preceding that day will be subject to the following schedule.
Trade Date-Settlement Date Schedule For "Regular-Way" Transactions
Trade
SR-FINRA-2009-019 - Proposed Rule Change to Adopt FINRA Rules 1010 (Requirements for Uniform Forms) and 2263 (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4) in the Consolidated FINRA Rulebook
Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Require Hyperlink to BrokerCheck on Member Websites
529 Plans
Regulatory Notice
Notice Type
Guidance
Suggested Routing
Compliance
Legal
Registered Representatives
Senior Management
Key Topics
529 Plans
Share Classes
Suitability
Supervision
Referenced Rules & Notices
GUIDANCE
Code of Arbitration Procedure
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Registered Representatives
Senior Management
Training
Arbitration
Code of Arbitration Procedure
Dispute Resolution
Subpoenas
Executive Summary
The Securities and Exchange Commission (SEC) has approved
amendments to the subpoena rule as set forth in Rule 10322 of
the NASD Code of Arbitration
SEC Approves Amendments to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
INFORMATIONAL
NAC Nominees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to announce the nominees for the National Adjudicatory Council (NAC) for the West Region and New York Region. The nominees, nominated for two-year terms beginning in
