Displaying 1271 - 1280 of 9025 Results
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On October 26, 1990, the Securities and Exchange Commission (SEC) approved the risk management functions of the Automated Confirmation Transaction (ACT) service. ACT risk management began operating Monday,
SUGGESTED ROUTING*
Senior ManagementOperationsResearch
*These are suggested departments only. Others may be appropriate for your firm.
The following NASD Notices to Members were issued during the second quarter of 1988. Requests for copies of notices should be accompanied by a self-addressed mailing label and sent to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-
Crypto is the closest thing we have currently that resembles the spirit of what the country was founded on and that is equal opportunity. Every system that was once democratic in nature has now been corrupted to favor keeping the rich rich. This corruption encourages anyone wanting to get anywhere other then the welfare line, to pay whatever unnecessary fees, taxes, or whatever exorbitant
The data elements specified in Rule 7130(d) are critical to FINRA's compilation of a transaction audit trail for regulatory purposes. As such, all member firms using the trade reporting service of the System have an ongoing obligation to input such information accurately and completely.
Amended by SR-FINRA-2013-053 eff. Feb. 3, 2014.
Amended by SR-FINRA-2008-
These documents provide a formatted version and explanatory text for firms to follow in building batch forms and retrieve reports.
The Communications with the Public section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of May 15, 1989, the following 18 issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,798:
With the cancellation of the 2020 FINRA Annual Conference and other in-person events throughout the year, we’ve gone virtual with a variety of on-demand conference panels on regulatory hot topics.
On this episode, we’re dropping in for a quick listen to the latest FINRA Virtual Conference Panel with FINRA CEO Robert Cook, Member Supervision Head Bari Havlik and Chief Legal Officer Bob Colby,
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, June 4, 1985, 23 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,998. These issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
FINRA:
I strongly object to the proposed FINRA regulatory notice 22-08.
The proposed measure is quite simply just another example of arrogant governmental agency overreach hatched under the disingenuous guise of protecting the consumer/investor.
Investor rights and abilities to buy/sell whichever public securities they may choose, whenever they choose, must be preserved without interference or