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The Series 32 exam—the Limited Futures Examination-Regulations—is a National Futures Association (NFA) exam administered by FINRA.
The Series 34 exam—the Retail Off-Exchange Forex Examination—is a National Futures Association (NFA) exam administered by FINRA.
A listing of forms related to Uniform Practice Code.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 7, 1986, 23 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,580. These 23 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm
As of November 21, 1988, the following 25 issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,902
Summary
FINRA is committed to supporting efforts by broker-dealer industry participants to foster diversity, inclusion and equal opportunity.1 FINRA seeks comment on any aspects of our rules, operations and administrative processes that may create unintended barriers to greater diversity and inclusion in the broker-dealer industry or that might have unintended disparate impacts on those within
INFORMATIONAL
Instant Messaging
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Senior Management
Operations
Trading and Market Making
Electronic Communications
Communications with the Public
Recordkeeping
Executive Summary
NASD is clarifying for members their supervisory obligations and recordkeeping requirements with respect to
The SEC's adoption of a consolidated audit trail through the development of a National Market System (NMS) plan is an important step that will enhance regulators' ability to conduct surveillance of trading activity across multiple markets and perform market reconstruction and analysis.
Trade Reporting Modifier for Trades that Qualify for the Intermarket Sweep Order Exception to the Trade-at Prohibition Under the Tick Size Plan
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to expand NASD's current Order Audit Trail System (OATS) exemptive authority to include recording requirements.