Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 13606 of the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) to provide that the Director (“Director”) of FINRA Dispute Resolution Services (“DRS”) will provide a copy of the official record of an expungement hearing held pursuant to Rule 13805, and any transcription if the recording is transcribed, to any customers, upon request, who attend and participate in the expungement hearing, or who provide their position on the expungement request in writing.
INFORMATIONAL
Three Quote Rule
Effective Date: November 24, 2000
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Trading & Market Making
Best Execution
NASD Rule 2320
NASD Rule 3110
Trading
Executive Summary
On September 21, 2000, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities
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Table of Contents3.1.1 National Market SystemTable 3.1.1.1 Shares of National Market System (NMS) Stocks Trading Summary, 2019–2023Table 3.1.1.2 National Market System (NMS) Stocks Trading by Venue Type, 2020–2023Figure 3.1.1.3 Monthly National Market System (NMS) Stocks Trading by Venue Type, 2023Figure 3.1.1.4 Monthly National Market Systems (NMS) Stocks Trading Outside of Normal
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of January 23, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
CSTR.GA
Coinstar Inc
13.000
10/01/06
EPHO.GA
Econophone Inc
13.500
07/15/07
RDMS.GA
RDM Sports Group Inc
11.750
07/15/
The Neutral Corner, Volume 6—2008
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of October 24, 1997, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
FRC.GC
First Republic Bancorp Inc.
7.750
09/15/12
IPX.GA
Interpool Capital Trust
9.875
02/15/27
CPSS.GB
Consumer
Summary
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons, particularly women and underrepresented minorities, whose personal circumstances take them away from the industry for a time. The changes to Rules 1210 and 1240: (1) provide eligible individuals who terminate any
Financial social media influencers or finfluencers are growing in popularity as a cheap way to reach a new generation of investors. But using this newer form of advertising comes with risks. On this episode, we learn more about the regulatory requirements around the use of social media influencers and hear some best practices for firms looking to make use of “finfluencer” programs.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, December 15, 1987, the following 5 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,066:
Symbol*
Company
Location
CLHB
As prepared for delivery.
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Money laundering is not a new issue for the securities industry. In fact, it has been listed in every FINRA annual regulatory priorities letter issued over the past 11 years. Many of the issues we've focused on over the years remain areas of focus in 2016. For example, we've addressed risk on many occasions. In 2009, we reminded firms to ensure
