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INFORMATIONAL
Reg T And SEC Rule 15c3-3 Reason Codes
Effective Date: February 7, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Regulation T
SEC Rule 15c3-3
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of
Nominees for Upcoming FINRA Board of Governors Election
SEC Approves Consolidated FINRA Customer Order Protection Rule
INFORMATIONAL
Imposition Of Censures
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Disciplinary ActionsNASD Sanction Guidelines
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
In July 1999, the
GUIDANCE
NAC Nominations
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members
of the nomination procedures to fill two upcoming vacancies on the
National Adjudicatory Council (NAC). The three-year terms of the
NAC regional Industry members from the New
INFORMATIONAL
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Underwriting
Debt Securities
Operations
Rule 6200 Series
Transaction Reporting
Executive Summary
On August 8, 2003, the Securities and
Various updates.
REQUEST FOR COMMENT
Short Interest Reporting
Comment Period Expires November 29, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Rule 3360
Short Interest Reporting
Short Sales
Executive Summary
NASD is issuing this Notice to Members to solicit comments from
members and other interested parties on proposed changes to
Rule 3360, Short Interest Reporting. Currently, Rule
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Table of Contents
2.1 Sizes and Counts
Figure 2.1.1 Total Number of FINRA-Registered Firms, 2018−2022
Figure 2.1.2 Firm Distribution by Size, 2018−2022
Table 2.1.3 Firm Distribution by Size, 2018−2022
Figure 2.1.4 Securities Industry Registered Firms by Type of Registration, 2013−2022
Table 2.1.5 Securities Industry Registered Firms by Type of Registration, 2013−2022
Figure 2.
FINRA Requests Comment on Proposal to Require Alternative Trading Systems to Submit Quotation Information Relating to Fixed Income Securities to FINRA for Regulatory Purposes