The following are details of FINRA's policy for the retransmission of FDIC-Backed bonds available via the BTDS (corporate bond) data feed.
The number of arbitrators appointed to a case depends on the amount and type of relief requested in the Statement of Claim.
SUGGESTED ROUTING
Senior ManagementInstitutionalOptionsTrading
Effective July 11, 1994, tier sizes for 500 Nasdaq National Market (NNM) securities will be revised in accordance with ¶2451a7 of the Rules of Practice and Procedure for the Small Order Execution System (SOESSM).
Under the revised SOES rules (see Special Notice to Members 94-1 January 5, 1994), the maximum order-execution
The Red Flags Rule requires that each "financial institution" or "creditor" --which include most member firms--implement a written program to detect, prevent and mitigate identity theft in connection with the opening or maintenance of "covered accounts."
FINRA and ISG Update Certain Electronic Blue Sheet Data Elements
INFORMATIONAL
Three Quote Rule
Effective Date: November 24, 2000
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Trading & Market Making
Best Execution
NASD Rule 2320
NASD Rule 3110
Trading
Executive Summary
On September 21, 2000, the Securities and Exchange Commission (SEC) approved amendments to National
The Series 66 exam — the NASAA Uniform Combined State Law Examination — is a North American Securities Administrators Association (NASAA) exam administered by FINRA.The exam consists of 100 scored questions and 10 unscored questions. Candidates have 150 minutes to complete the exam. To pass the Series 66 exam, candidates must correctly answer at least 73 of the 100 scored questions.There is no
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Registration
Executive Summary
The 1999 National Association of Securities Dealers, Inc. (NASD®) broker/dealer and agent registration renewal cycle begins in early November. This program simplifies the registration renewal process through the payment of one invoiced amount that will include fees for
INFORMATIONAL
Nasdaq National Market Execution System
Effective Date: July 10, 2000
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Operations
Senior Management
Systems
Trading & Market Making
Nasdaq National Market Execution System
SelectNet
Small Order Execution System
Trading
Executive Summary
On January 14, 2000, the Securities and
Maintaining Your Registration Once you are registered or employed by a firm, you must comply with FINRA rules, federal and state securities regulations, and your firm’s policies to maintain your registration
