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*These are suggested departments only. Others may be appropriate for your firm.
As of March 15, 1990, the following 20 issues joined NASDAQ/NMS, bringing the total number of issues to 2,667:
Symbol
Company
Entry date
SOES Execution Level
FOILP
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 21, 1985, 42 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,976. These 42 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
Comment Period Expires: August 28, 1995
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Executive Summary
The Board of Governors of the Federal Reserve System (Fed.) is requesting comments on proposed changes to Regulation T (Reg. T), which covers extensions of credit by and to broker/dealers. The proposed
On This PageFAQ Applicable to FINRA's Fingerprint ProcessFAQ Applicable to All FirmsFAQ Applicable to Broker-Dealers FirmsFAQ Applicable to Funding PortalsFAQ Applicable to Investment AdvisersFAQ Applicable to FINRA’s Fingerprint ProcessQ1: Which firm personnel are required to be fingerprinted?A1: Pursuant to Section 17(f)(2) of the Securities Exchange Act of 1934, (15 USC 78q(f)(2)), and
Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
Varying Levels of Financial Knowledge Among Americans May Deepen Inequality
WASHINGTON – Financial literacy is a strong indicator of positive financial outcomes for the future, but differing levels of financial literacy among Americans may contribute to widening inequality among different segments of the population, according to a new study by the FINRA Investor Education Foundation (FINRA
This interpretive material concerns the types of business expansions that will not require a member to submit a Rule 1017 application to obtain FINRA's approval of the expansion. This safe harbor applies to: (1) firms that do not have a membership agreement, and (2) firms that have a membership agreement that does not contain a restriction on the factors listed below.
The safe harbor is not
Sec. 1. (a) The Board shall be the governing body of the Corporation and, except as otherwise provided by applicable law, the Restated Certificate of Incorporation, or these By-Laws, shall be vested with all powers necessary for the management and administration of the affairs of the Corporation and the promotion of the Corporation's welfare, objects, and purposes. In the exercise of such
Sec. 3. (a) No registered broker, dealer, municipal securities broker or dealer, or government securities broker or dealer shall be admitted to membership, and no member shall be continued in membership, if such broker, dealer, municipal securities broker or dealer, government securities broker or dealer, or member fails or ceases to satisfy the qualification requirements established under
(a) Authority to Initiate Halts In Trading Otherwise Than on an Exchange in NMS Stocks
FINRA, pursuant to the procedures set forth in paragraph (b):
(1) shall halt trading otherwise than on an exchange in any NMS stock, as defined in Rule 600(b)(47) of SEC Regulation NMS, whenever any market that has the authority to call a regulatory halt in the security imposes a trading halt, or suspends the