Comment Period Expires August 1, 1995
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Executive Summary
The NASD® requests member comment on proposed amendments to Section 2 of Schedule E to the NASD By-Laws to amend the exception from the qualified independent underwriter requirement for offerings of securities with a bona fide independent market.
The data elements specified in Rule 7230A(d) are critical to FINRA's compilation of a transaction audit trail for regulatory purposes. As such, all member firms utilizing the trade reporting service of the System have an ongoing obligation to input 7230A(d) information accurately and completely.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-
1. Real-time TRACE Data (Vendor Agreement)
Firms wishing to subscribe to either the Bond Trade Dissemination Service (BTDS), Agency Trade Dissemination Services (ATDS), Securitized Products Dissemination Service (SPDS), and/or 144A Bond Trade Dissemination Services (144A) must complete and sign the TRACE Vendor Agreement. The executed Agreement should be submitted electronically to:
GUIDANCEContinuing EducationSUGGESTED ROUTINGKEY TOPICSContinuing EducationLegal & ComplianceRegistrationSenior ManagementContinuing EducationFirm ElementExecutive SummaryThe Securities Industry/Regulatory Council on Continuing Education (Council) has issued the annual Firm Element Advisory, a guide for firms to use when developing their continuing education Firm Element training plans.
FINRA correctly recognizes the rise of retail trading of complex products. However, this is characteristic of financial bubbles and euphorias. The problem is the systemic issues that led to this bubble in the first place (irresponsible monetary policy) - not the retail traders themselves
I use non-leveraged inverse ETFs from ProShares to hedge market risk. I have read the prospectus from
I am writing to oppose the radical limitations on my investments proposed by the Financial Industry Regulatory Authority (FINRA). Under the long-standing disclosure-based system, investors have the right to decide which public equities, bonds, and funds they want to buy. The freedom to access a broad range of investment products help me build better portfolios and limit my risks in the market.
Cloud computing refers to the delivery of information technology (IT) services using internet technologies in a way that is elastic and scalable and may be priced on a pay-as-you-go basis. Core cloud computing services generally include data storage, processing capacity, networking and software applications. Many of these services are similar to utility services in that they are largely
May 2006
In a continuing effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to NASD's routine examinations of firms. While each firm must establish its own compliance
FINRA has begun disseminating individual transactions in active U.S. Treasury securities at the end of the day, raising the level of transparency in the market for these benchmark securities.
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Sensitive Data Warnings in Form U4 and Form U5
Form U4 and Form U5 now display warnings when sensitive information is
