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FINRA announced today that it has fined Morgan Stanley Smith Barney LLC $1.6 million for the firm’s repeated failures to timely close out failed inter-dealer municipal securities transactions and to take prompt steps to obtain physical possession or control of municipal security positions that are short more than 30 calendar days, and related supervisory failures.
TO: All NASD Members and Other Interested Persons
The following is a list of NASD Notices to Members issued during the second and third quarters of 1985. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.
Notice Number
Date
Topic
85-22
April 8, 1985
NASDAQ
Firm Failed to Report Over-the-Counter Options Positions in More Than 7.4 Million Instances
WASHINGTON—FINRA announced today that it has fined BofA Securities Inc. (BofAS) $5 million for failing to report over-the-counter (OTC) options positions to the Large Options Positions Reporting system (LOPR) in more than 7.4 million instances, including 26 positions that were over the applicable OTC
When it feels like so many things are out of our control, sometimes the best thing to do is focus on the things that are. Here are five questions to ask for some financial peace of mind in the age of coronavirus.
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FINRA collects certain market data as part of its role in overseeing trading and providing transparency services. Following are select tables drawn from that data.
Table of Contents
Table 3.1 National Market Systems (NMS) Stocks Trading Summary, 2017–2021
Table 3.2 National Market Systems (NMS) Stocks Trading by Venue Type, 2018–2021
Figure 3.1 Monthly National Market Systems (NMS)
I find the proposed FINRA's potential regulations notice 22-08 as it will put undo restrictions on my ability to invest as an individual. The current proposed requirement for a test is not fully defined nor is the process in which it will be administered defined. Who will prepare the study material, who will administer the test, and how long is the certification valid after you pass the
SUGGESTED ROUTINGSenior ManagementAdvertisingContinuing EducationCorporate FinanceExecutive RepresentativesGovernment SecuritiesInstitutionalInsuranceInternal AuditLegal & ComplianceMunicipal Mutual FundOperationsOptionsRegistered RepresentativesRegistrationResearchSyndicateSystemsTradingTrainingVariable Contracts BackgroundThe National Association of Securities Dealers, Inc. (NASD®) is
It has come to FINRA’s attention that the securities listed below have been set up on FINRA’s TRACE system, but have previously also been identified as municipal securities. As a result, transactions in many of these securities have been reported to both TRACE and the MSRB’s Real-Time Transaction Reporting System (RTRS).
In light of the above, FINRA contacted several of these securities’
New Member Applications
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
New Member ApplicationsRule 1013Rule 1014(a)
Standardized Application Form
Executive Summary
NASD is issuing this Notice to inform members and applicants for membership
Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.