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The Best Execution topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
The Consolidated Audit Trail (CAT) section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of August 25, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
NAE.GA
NorAm Energy
7.500
8/1/00
HRVD.GB
Harvard Indus
11.125
8/1/05
INFORMATIONAL
Exchange Act Rules 11Ac1-5 And 11Ac1-6
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Disclosure of Order Execution and Order Routing
Exchange Act Rules 11Ac1-5 and 11Ac1-6
Executive Summary
NASD Regulation Inc. (NASD RegulationSM) is issuing this Notice to Members to inform members about interpretive
FinPro is part of FINRA’s efforts to streamline communication between industry stakeholders and reduce the registration compliance burden for firms. As we develop this system, FINRA is also creating materials to help firms incorporate FinPro features into their registration compliance programs. Learn more on the page below about the onboarding, training and support resources that are available to
Good afternoon, Chairman Reed, Ranking Member Allard and distinguished Members of the Subcommittee. NASD is grateful for the invitation to testify regarding the regulatory consolidation of NASD and NYSE Member Regulation.
FINRA Firm Grouping Member Forums are one-day free events designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The forums also include thoughtful discussions around the future landscape of the financial services industry and provides opportunities to meet one-on-
Year 2000 Program Addresses Challenges Faced By Automated Systems
Members Be Advised: The year 2000 will be upon us in less than two and a half years, and, to be ready, all National Association of Securities Dealers, Inc. (NASD®) member firms must take action now to ensure that their automated systems will continue to operate successfully. The NASD has instituted a Year 2000 (Y2K) Program to
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Securities markets and the Nasdaq® system will be closed on Monday, September 2, 1991, in observance of Labor Day. "Regular way" transactions made on the preceding business days will be subject to the
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Securities markets and the Nasdaq system will be closed on Thursday, July 4, 1991, in observance of Independence Day. "Regular way" transactions made on the preceding business days will be subject to the