Displaying 2711 - 2720 of 28153 Results
On Friday, February 19, 2021, FINRA introduced a new Historical Data API via the FINRA API Developer Center (developer.finra.org). The OTC Transparency Weekly Summary will be the first dataset available via the Historical Data API and will be named WeeklySummaryHistoric. This change is designed to facilitate those API users who are downloading large amounts of historical data, defined as data
SEC Approves Rule Amendment to Create a New TRACE Security Activity Report and End-of-Day TRACE Transaction File
SEC Approves Amendments to Require Reporting of OTC Trades in Equity Securities Within 30 Seconds of Execution
SEC Approves Amendments to the FINRA Rule 9550 Series Governing Expedited Proceedings
Filing Requirements for Members that Carry Customer Margin Accounts; New Customer Margin Balance Form
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15c3-1d Satisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1).
15c3-1d(a) Introduction.
15c3-1d(a)(1) This appendix sets forth minimum and non-exclusive requirements for satisfactory subordination agreements (hereinafter “subordination agreement”).
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Martin Luther King, Jr.'s Day, Monday, January 18, 1988. On January 18, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a settlement date since many of
FINRA Amends Section 13 of Schedule A to the FINRA By-Laws to Establish Charges for New Option to File Websites and Web Pages in Native Format
TO: All NASD Members and Other Interested Persons
ATTENTION: REGISTRATION AND TRAINING PERSONNEL
EXECUTIVE SUMMARY
Beginning with the August 15, 1987, administration of the Series 7 General Securities Registered Representative Examination, the NASD will collect a $10 test-development fee from its members for the New York Stock Exchange (NYSE) for each Series 7 grade posted to a candidate's
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
The schedule of trade dates/settlement dates below reflect the observance by the financial community of Martin Luther King, Jr.'s Day, Monday, January 19, 1987. On Monday, January 19, 1987, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a settlement date