As requested by the Department of Treasury (Treasury), the National Association of Securities Dealers, Inc. (NASD®) provides members with information from the Office of Foreign Assets Control (OFAC) about persons and entities identified as "Specially Designated Nationals and Blocked1 Persons" and about other OFAC regulations. On December 9, 1997, OFAC amended its regulations to require
Before investing in mutual funds, it is important that you understand the sales charges, expenses, and management fees that you will be charged, as well as the breakpoint discounts to which you may be entitled.
Last modified: November 9, 2023The use of the FINRA.ORG site, including all of its content (“FINRA Website”), is conditioned upon the acceptance by you (“End User”), without modification, of these terms of use ("Terms of Use"). Financial Industry Regulatory Authority, Inc. (“FINRA”) reserves any rights, privileges, or immunities not expressly granted under these Terms of Use.
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New uniform provisions regarding the automated reporting requirement for Positions Hedging Stock Options will become effective on December 31, 1997.
New uniform provisions regarding the
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
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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
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Decimalization
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The Securities and Exchange Commission (
1 This report is not intended to express any legal position and does not create any new regulatory requirements or suggest any change in any existing regulatory obligations, nor does it provide relief from any existing regulatory obligations. This report summarizes key findings from FINRA’s outreach and research on the use of quantum computing in the financial
Executive Summary
As requested by the Department of Treasury (Treasury), the National Association of Securities Dealers, Inc. (NASD®) provides members with information from the Office of Foreign Assets Control (OFAC) about persons and entities identified as "Specially Designated Nationals and Blocked1 Persons." Effective December 23, 1997, OFAC updated its master list, adding the names
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Direct Participation Programs Limited Principal (Series 39)
Direct Participation Programs Limited Representative (Series 22)
Equity Trader Limited Representative (Series 55)
Financial and
