On September 28, 2005, the SEC approved rule filing SR-NASD-00-23 relating to the OATS rules.
In 2014, FINRA began using AWS instead of on premise resources. As part of this shift, we built a new and more robust large file service (LFS) that leverages cloud resources.
GUIDANCEMunicipal SecuritiesSUGGESTED ROUTINGKEY TOPICSCorporate FinanceExecutive RepresentativesLegal and ComplianceMunicipal SecuritiesOperationsRegistered RepresentativesSenior ManagementTechnologyTrading and Market MakingTrainingMSRB Rules G-12(f) and G-14Municipal SecuritiesOperationsSupervisionTrainingTransaction ReportingExecutive SummaryNASD is issuing this Notice to Members to remind
What is proper evidence of compliance with clock synchronization requirements pursuant to NASD Rule 6953?<br/>
ACTION REQUESTED
Intermarket Surveillance Group
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Blue Sheets
Executive Summary
This Notice to Members discusses new uniform provisions regarding the automated reporting requirement for Electronic Blue Sheets (EBS).
Effective August 8, 2001 all members were required to:
(1)
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
FINRA previously announced plans to update the TRACE for Treasuries FIX acknowledgement messages on Monday, July 10, 2023. In order to align this change with FINRA Regulatory Notice 22-27, which specifies timestamp granularity, the change for TRACE for Treasuries FIX receipt messages, including acknowledgments, will now go into effect on Monday, November 6, 2023.
Currently, the TRACE for
