Displaying 3281 - 3290 of 28153 Results
In observance of Good Friday, FINRA’s Market Transparency Reporting Systems will be closed on Friday, April 7, 2023. Affected applications include:
Alternative Display Facility (ADF)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed interface specifications, FINRA may send out
SUGGESTED ROUTING*
Senior Management
Institutional
Legal & Compliance
Mutual Fund
Operations
Options
Registration
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD requests members to vote on proposed amendments to Article III, Sections 2 and 21 (c) of the
Do not restrict my investing of inverse funds !!
SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements)
SUGGESTED ROUTING*
Senior ManagementInstitutionalInternet AuditLegal & ComplianceOperationsTradingTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
NASD members are advised that the Securities and Exchange Commission (SEC) has approved an amendment to the NASD Board of Governors' "Free-Riding and Withholding"
Reportable Options Positions, Options Position Limits and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Options
Legal and Compliance
Institutional
Senior Management
Operations
Trading
Aggregation
Exercise Limits
Index Options
Large Options Position Reporting
Options
Position LimitsRule 2860
Executive Summary
On November 15, 2006, the Securities and Exchange Commission
(SEC) approved a
FINRA Requests Comment on Proposed Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items
SEC Approves Consolidated Telemarketing Rule
SEC Approves Consolidated FINRA Rule Regarding Background Checks on Registration Applicants
Thank you, Kayte [Toczylowski, FINRA’s head of Member Relations and Education], and good morning, everyone. It is so wonderful to see you. I am delighted to join Kayte in welcoming you to the 2023 FINRA Annual Conference.