Executive Summary
In mid-January, the Securities and Exchange Commission (SEC) approved a revised NASD Manual. To facilitate your adjustment to this new Manual, which is scheduled for publication and dissemination this May, we have included a Guide to the Manual: New-to-Old Conversion Chart and Old-to-New Conversion Chart. This material outlines the reorganized Manual and indicates where the
I shouldn't have to go through any special process like passing a test before you can invest in public securities, investing in public funds is a right and testing knowledge is akin to a poll test.
WASHINGTON, D.C.— The harmful consequences of Americans’ prolonged social isolation due to the coronavirus pandemic may be even greater for lonely older adults with low cognition. These individuals are at high risk for poor financial and healthcare decision making, according to new research from the FINRA Investor Education Foundation, the Indiana University School of Medicine and the Rush
Data Definitions for Treasury Securities Trade Activity. Data fieldDefinitionAggregate Indicator Aggregate Indicator field identifies if a transaction is eligible for the Treasury aggregate statisticsY - Aggregate EligibleN - Not eligible for the Aggregates As Of IndicatorThis field will be populated if the transaction being reported is an As/Of trade, Reversal, Cancel or Correction from a prior
The following charges shall be paid by SLATE Participants for the use of the Securities Lending and Transparency Engine (“SLATE”):System FeesLoan Reporting FeesData FeesSLATE Web Browser Access Fee – $25/month per user ID Initial Covered Securities Loan – $0.07Market Data: SLATE Loan-Level Data and Daily Loan Statistics – $3,000/month, except for qualifying Tax-Exempt Organizations. The data is
In 2002, FINRA Dispute Resolution became concerned about the length of time it takes to resolve arbitrations involving senior or seriously ill parties.
NASD has filed with the SEC a proposed rule change to amend Rule 10308 of the NASD Code of Arbitration Procedure (“Code”) to change the method used by the Neutral List Selection System to select arbitrators from rotational to random, as proposed in the pending Customer and Industry Code revisions.
Thank you, Bill [Press], and good morning, everyone. It's great to be here with you.
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Executive Summary
Schedule D and Schedule H of the NASD By-Laws require members to respond to regulatory requests for trading data by using a standardized automated format. In Notice to Members 93-26 (April 1993), members were urged to take immediate action to ensure the timeliness, accuracy, and completeness of trading
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