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Notice to Members 04-06
INFORMATIONALTrade Reporting and Compliance Engine (TRACE)SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementIT ManagementDebt SecuritiesTrade Reporting and Compliance Engine (TRACE)Rule 7010(k)Executive SummaryThe TRACE system became effective on July 1, 2002. Since that time the TRACE fee structure has been operating under a pilot program approved by the SEC that
Information Notice - 10/14/11
Continuing Education Planning
Information Notice - 4/13/12
Continuing Education Planning
Notice to Members 00-23
INFORMATIONAL Bond Mutual Fund Volatility Ratings SUGGESTED ROUTING KEY TOPICS Advertising/Investment Companies Executive Representatives Legal & Compliance Mutual Fund Registered Representatives Senior Management
Notice to Members 99-11
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered
Regulatory Notice 18-29
FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis
Notice To Members 93-62
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading Training Executive Summary On July 16, 1993, the Securities and Exchange Commission (SEC) approved an NASD rule change to implement real-time trade reporting for members' over-the-counter transactions in equity securities that were not previously reportable to the NASD in this manner.1 The equity securities
Notice To Members 93-18
SUGGESTED ROUTING Senior ManagementGovernment SecuritiesLegal & Compliance Executive Summary On January 27, 1993, the Securities and Exchange Commission (SEC) approved the NASD's Collateralized Mortgage Obligations Advertising Guidelines (Guidelines). The Guidelines provide a framework for members to assess the accuracy and appropriateness of Collateralized Mortgage
Regulatory Notice 08-49
Effective November 11, 2008, the requirements in NASD Interpretive Material (IM) 2110-2 (Trading Ahead of Customer Limit Order) apply to over-the-counter (OTC) equity securities, as defined in NASD Rule 6610(d).
Notice to Members 07-23
GUIDANCE SUGGESTED ROUTING KEY TOPICS Executive Representative Legal & Compliance Operations Registered Representatives Senior Management Systems Trading Alternative Display Facility ADF Trading Centers Regulation NMS SEC Rule 611