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April 6, 2004
NASD reminds firms that OATS Cancel Reports need not be submitted for Immediate or Cancel ("IOC") or Fill or Kill ("FOK") orders that are not immediately executed. Firms receiving these types of orders are required to include the IOC or FOK special handling code on the OATS New Order or Combined type reports.
An IOC order requires that all or part of the
August 2, 2004NASD reminds firms that when an NASD member firm receives or originates an order and electronically routes that order to another member firm, the routing firm must provide a Routed Order ID to the receiving firm. (This requirement does not apply when routing to an ECN or to a non-member.) Both the routing firm and the receiving firm must record and report this Routed Order ID to
September 2, 2004NASD reminds member firms and non-member reporting and transmitting entities to regularly update contact information via the OATS Web Interface. NASD also urges firms to include a valid, working email address as part of the contact information. NASD sends updates concerning OATS via an email push. This email goes to all contacts in the OATS Web Interface that have included a
A Snapshot Report is generated from the Central Registration Depository (CRD®) and provides background information on an individual's securities and investment advisory experience and related qualifications.
1. What types of Dual Deficiencies exist?
There are three deficiencies: RR/RR, RR/RA, RA/RA. A state may have different requirements for each registration combination. Contact the state regulator directly.
FINRA President and CEO Robert Cook, Chairman Bill Heyman, Board members and FINRA staff provide updates on the September 2017 FINRA Board of Governors meeting, including the rule proposals, committee news and other items that were discussed.
Proposed Rule Change to Amend Section 13 of Schedule A to the FINRA By-Laws Relating to the Review Charges for Communications Filed with or Submitted to FINRA
As prepared for delivery
Good afternoon. Thank you, Wayne [Abernathy], for that kind introduction and for the invitation to speak with you today. It is a pleasure to address this group, which plays such a unique role in facilitating the open discussion of important issues facing our economy and financial system.
Most of you, I assume, invest in the stock market. Many of you invest through
Beginning Monday, October 2, 2017, Jane Street (MPIDs: JSCA and JSEB) will become a Trade Reporting Only (TRO) participant on the FINRA Alternative Display Facility (ADF).
Please contact FINRA Business Services at (866) 953-4672 if you have questions about this notice.
FINRA would like to remind member firms of their obligation to file the appropriate FOCUS reports, short interest reports, annual audits and customer complaints by their due dates. The following schedule outlines due dates for 2008. Questions regarding the information to be filed can be directed to the appropriate District Office.