Displaying 2721 - 2730 of 28153 Results
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
TO: All NASD Members and Interested Persons
ATTN: Registration, Training and Compliance Personnel
During the above period, the NASD will install and test new software for its qualification examination delivery system in the PLATO network. In order to preclude the possibility of disruptions during candidate testing sessions as this new software is installed, all Control Data Learning Centers
ROUTE TO
Senior Management
Legal & Compliance
Operations
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IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
The WASL invited to Article III, Section 27 ID flutes of Fair Practice and planS: .Amendment to Article 1 of the NASD 5. The proposed amendments to Article III, Section 27 would (1) prescribe
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 Level 2 and Level 3 Subscribers
An additional 16 securities will join the 570 already trading in the NASDAQ National Market System on Tuesday, November 8, 1983. (The 570 include the 50 issues scheduled to join NMS on October 18.) These securities have met the NMS mandatory designation requirements, which include an average trading volume of 600,000 shares a month for six
On Monday, November 20, 2023, TRACE for Treasuries trades reported between 8:00 a.m. ET and 10:09 a.m. ET were not reflected on the FINRA TRAQs website. Treasuries transaction processing and matching were not affected by this event and no other FINRA products were impacted.FINRA will have this data restored and available for TRAQS viewing and TRAQS cancel and correction activity starting Tuesday
Arbitrator Training
Training Module
Arbitrators must complete the Expungement training course and pass the exam with a score of at least 80%. It is available on FINRA’s training platform.
Expungement Training (Module 16)
Enhanced Expungement Training - NEW
The Enhanced Expungement Training provides an overview of revisions to the Codes of Arbitration Procedure to modify the process
This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
(a) Filing by Applicant or Service by FINRA
(1) An Applicant for membership shall file an application in the manner prescribed in Rule 1013, including the timely submission of an application fee pursuant to
Proposed Changes to the Personnel Assessment and Gross Income Assessment Fees