Displaying 1751 - 1760 of 28153 Results
May 2, 2003The 2nd Quarter 2003 OATS release currently scheduled for July 28, 2003, contains certain enhancements that will require coding changes on the part of member firms and OSOs. Therefore, NASD is providing advance notice to members and OSOs so that they may plan accordingly. NASD is expecting to publish the full Technical Specifications by mid-May. These enhancements are being implemented
Sec. 4.2 The Board shall consist of no fewer than five and no more than seventeen Directors, the exact number of Board members will be determined by resolution adopted by the stockholder of FINRA Regulation from time to time. Any new Director position created as a result of an increase in the size of the Board shall be filled pursuant to Section 4.4.
Amended by SR-FINRA-2015-
No member or person associated with a member shall interfere with a customer's request to transfer his or her account in connection with the change in employment of the customer's registered representative where the account is not subject to any lien for monies owed by the customer or other bona fide claim. Prohibited interference includes, but is not limited to, seeking a judicial
(a) A FINRA member operating in or participating in any FINRA system or facility shall provide information orally, in writing, or electronically (if such information is, or is required to be, maintained in electronic form) to the staff of FINRA when FINRA staff makes an oral, written or electronically communicated request for information relating to a specific FINRA rule, SEC rule, or
Each member shall submit trade data specified in Rule 8211 in automated format as may be prescribed by FINRA from time to time with respect to any transaction or transactions involving non-exchange-listed securities as defined in the Rule 6400 Series that are the subject of a request for information made by FINRA. Pursuant to the Rule 9600 Series, FINRA may exempt a member from the requirement
Temporary and permanent cease and desist orders issued pursuant to this Rule Series constitute final and immediately effective disciplinary sanctions imposed by FINRA. The right to have any action under this Rule Series reviewed by the SEC is governed by Section 19 of the Exchange Act. The filing of an application for review shall not stay the effectiveness of a temporary or permanent cease
SEC Requests Broker-Dealers Make SARs and SAR Information Available to FINRA
I appreciate many of the actions that are listed. Requiring funds to post their short positions (whether synthetic or other) should absolutely be mandatory. The lack of transparency only creates opportunities for these funds to create illusionary positions and to skirt regulatory requirements. The greater the transparency these funds are required to maintain the greater the benefit to both
FINRA Collection of Short Interest Data for BATS Exchange-Listed Securities
INFORMATIONAL
Conduct Of Business Abroad
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Business Abroad
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) is issuing this Notice to Members as part of its continuing effort to provide members with guidance on complying with rules that govern their business