TO: All NASD Members and Other Interested Persons
ATTN: Operations Principal, Cashier, Buy-in Personnel
EXECUTIVE SUMMARY
Last Date for Comments: October 1, 1986.
The NASD Board of Governors is circulating for comment a proposed amendment to the Uniform Practice Code, Section 59, Close-Out Procedure; Buying-in. It would require that buy-ins returned by a clearing corporation to a broker be
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, July 15, 1986, 33 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,457. These 33 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 20, 1986, 28 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,363. These 28 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
TO: All NASD Members and Level 2 and Level 3 Subscribers
NASDAQ 1983 SHARE VOLUME REACHES 15.9 BILLION MARK; 88.7% INCREASE OVER RECORD 1982 8.4 BILLION
1983 NASDAQ volume reached 15.9 billion shares, an all-time record and an 88.7% increase over 1982 volume. The 15.9 billion shares represented 74% of the NYSE's 1983 volume and 750% of that of the AMEX.
On the last trading day of 1983,
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, August 19, 1996. The information relating to matters contained in this section is current as of August 5, 1996. Information received subsequent to August 5, 1996, is not reflected in this section.
Firm Fined, Individual Sanctioned
Chatfield Dean & Co. (Greenwood Village, Colorado) and Scott
IMMEDIATE ACTION REQUIRED
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Mutual Funds Transactions
Breakpoints
Executive Summary
Mutual funds that are sold with front-end sales loads often offer investors the opportunity to pay reduced sales loads under a variety
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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons whose personal circumstances take them away from the industry for a
Summary
A key element in any firm’s cybersecurity program is a robust authentication process, i.e., the method that confirms that an authorized user seeking access to a firm’s information technology systems is who they say they are.1 This process typically relies on one or more “factors,” such as a password or personal identification number (PIN) code, to provide the authentication. The
The Web CRD Late Filing Fee Report is a monthly analysis of FINRA firms' ability to meet certain filing obligations. In accordance with FINRA rules, firms are required to submit information related to registered representatives. This report displays a firm's performance in submitting certain U4 and U5 filings in the required time frame.
The information in this report is provided to
The trading activity fee (TAF) is one of the regulatory fees FINRA assesses to recover the costs of supervising and regulating firms.
