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TO: NASD Members and NASDAQ Level 2 and Level 3 Subscribers
The Association's Small Order Execution System (SOES) began operation on December 14, 1984, with 25 NASDAQ National Market System (NASDAQ/NMS) securities. That number was expanded to 50 stocks by year-end. Recently the Board of Directors of NASD Market Services, Inc. approved a schedule whereby all NASDAQ/NMS issues will be phased
Rulemaking topics discussed include: communications with the public, mark-up/mark-down rule application to US treasury securities, the municipal adviser exam fee, and the trading activity fee.
ACTION REQUESTED
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
A review of the decimalization testing mandate and plans for Nasdaq® decimalization testing are included in this NASD Notice to Members. A select number of market
Last year, as FINRA staff looked to adjust to a new exam and risk monitoring program structure, the industry and the world was struck with an unprecedented global crisis. On this episode, the second in a two-part series, we hear how the program adapted in the face of the pandemic before looking ahead to priorities for 2021.
The data elements specified in Rule 7230B(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 7230B(d) information accurately and completely.
Renumbered from Rule 7260C and amended by SR-FINRA-2008-066 eff. Jan. 1, 2009
GUIDANCEMunicipal SecuritiesSUGGESTED ROUTINGKEY TOPICSCorporate FinanceExecutive RepresentativesLegal and ComplianceMunicipal SecuritiesOperationsRegistered RepresentativesSenior ManagementTechnologyTrading and Market MakingTrainingMSRB Rules G-12(f) and G-14Municipal SecuritiesOperationsSupervisionTrainingTransaction ReportingExecutive SummaryNASD is issuing this Notice to Members to remind
On November 8, FINRA, Deloitte and the MIT Fintech Club kicked off an innovative event aimed at leveraging fintech in service of making investors smarter and safer. The Buildathon paired industry technologists and compliance leaders with high performing technology students from MIT, Harvard and other Boston institutions for a hackathon-style competition. Teams competed in one of four challenge
NASD Encloses New Guide to Information and Services
With this issue of Notices to Members, NASD members are receiving the new edition of the NASD Guide to Information and Services. The Guide is arranged by subject headings and includes the names and phone numbers for NASD contacts on each subject.
Date Changes for January First Saturday Examination
The date for the January 1991 first Saturday
Staff Relocations
Over the next several months, some NASD Regulation, Inc. (NASD RegulationSM) and National Association of Securities Dealers, Inc. (NASD®) staff will be moving from Washington, D.C. to a new location in Rockville, Maryland. The move will be conducted in a staggered fashion beginning early July, with completion expected in the fall of this year. This relocation plan affects over