SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On March 23, 1992, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 5 and Article IV, Sections 3 and 4 of the Association's By-Laws and Article IV, Section 5 of the
Submit to FINRA a signed/notarized hard copy CRD printout of Form BD. Make sure the firm’s Financial and Operations Principal (FINOP) is listed on Schedule A of Form BD.
Submit Form BR requesting registration of at least one branch office location. Learn more about branches on the Manage a Branch Office Registration page.
Request principal registration for at least two
(a) Composition of Panels
The arbitrator will be a public arbitrator selected from the public chairperson roster, unless the parties agree in writing otherwise.
(b) Generating Lists
(1) The list selection algorithm will generate a list of 10 public arbitrators from the FINRA chairperson roster.
(2) The list selection algorithm will exclude arbitrators from the lists based upon current
Exchange Act Rule 15c2-11 (the “Rule”) governs the publication or submission of quotations by broker-dealers in a quotation medium other than a national securities exchange (i.e., the OTC market). The Rule generally prohibits a broker-dealer from publishing a quotation for any security in a quotation medium unless the broker-dealer has reviewed current and publicly available information about the issuer whose security is the subject of the quotation, and the broker-dealer believes this information is accurate and obtained from a reliable source. Municipal securities and other “exempt securities” (e.g., government securities, Treasury securities) are not subject to the Rule.
This data provides trading volume in U.S. Treasury securities reported to TRACE for the prior day. The daily aggregate data is published at 8:00 PM ET every business day. The first daily was published February 13, 2023.
Treasury bond data is aggregated by security subtype: Bills, Floating Rate Notes (FRN), Nominal Coupons and Treasury Inflation-Protected
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Ombuds is a term originating from Sweden and means representative. The International Ombuds Association describes an ombuds as “one who assists individuals and groups in the resolution of conflicts or concerns.”
FINRA’s Office of the Ombuds is an independent, neutral, and confidential resource for anyone with questions or concerns about FINRA, which regulates the U.S. brokerage
ACTION REQUIRED
Broker/Dealer, Investment Adviser, And Agent Renewals
Payment Deadline: December 7, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representative
Registration
Senior Management
Training
Maintenance Fees
Registration
Renewals
Web CRD
Web IARD
Executive Summary
The National Association of
INFORMATIONAL
Ex-Dividend Dates
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Trading & Market Making
Ex-Dividend Dates
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) Uniform Practice Code (UPC) governs, among other things, the designation of "ex-dividend dates" (
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
ACTION REQUESTED
Proposed Recordkeeping And Reporting Requirements Of Certain Quotations
Comment Period Expires: April 10, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Technology
Trading & Market Making
OTC Securities
Recording And Reporting Quotation Data
Market Making
Executive Summary
NASD Regulation, Inc. (NASD
