April 2003
In an 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 the Department of Member Regulation's routine examinations of firms. While each firm must
April 2004
In an 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 the Department of Member Regulation's routine examinations of firms. While each firm must
The Commodity Futures Modernization Act of 2000 ("CFMA") lifted the ban on the trading of security futures, i.e., single stock and narrow-based stock index futures ("security futures"). Because they are subject to regulation both as securities and as futures contracts, security futures must be traded on trading facilities and through intermediaries that are registered with
October 2002
In an 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 the Department of Member Regulation's routine examinations of firms. While each firm must
In an 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 the Department of Member Regulation's routine examinations of firms. While each firm must establish its own
First Part
Does the Form BD, prepared for submission to FINRA, bear the Applicant’s original signature? (Mechanical reproductions of signatures are not acceptable.) Ensure that the date field reflects a complete date (month, day, and year).
Has the Form BD been originally and properly notarized? (Make sure that the notary completes all items and affixes his or her original signature
Retransmission Data Feed Policy
As a reminder, on Monday, June 30, 2014, FINRA will launch the fee-based Professional User ATS Transparency Data product.
The OTC Reporting Facility (ORF) is scheduled to migrate to new technology on September 15, 2014. On this July 16 free conference call about the migration, FINRA staff:
The following web service files provide the schema and sample files.
