As prepared for delivery.
Commerce and Compliance: It’s Not a Culture War
Good morning and welcome to FINRA’s Annual Conference, this year is notable in several ways, including the quality of the program and roster of speakers and attendees. Each year when we come together for this conference, we discuss and debate top regulatory concerns, as well as a range of issues affecting our industry,
NASD has filed with the SEC a proposed rule change to amend Rules 4300A and 4619A(g) to give jurisdiction to NASD’s Market Regulation Committee to review system outage determinations under Rule 4300A(f) and excused withdrawal denials under Rule 4619A, respectively. The proposed rule change would apply during the time that the NASD Alternative Display Facility operates on a pilot basis.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, December 16, 1986, 26 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,709. These 26 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
Guidance on Implementing Effective Heightened Supervisory Procedures for Associated Persons With a History of Past Misconduct
Suggested Routing
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of October 28, 1996, the following bonds were added to the Fixed Income Pricing System (FIPS).
Symbol
Name
Coupon
Maturity
VOUT.GB
Universal Outdoor Inc
9.750
10/15/06
GGSY.GA
Gross Graphic System Inc
12.000
10/15/06
AGY.GA
Argosy Gaming Co
13.250
6/1/04
OSIA.GA
America is a free country. FINRA has no right to protect competent adults from the consequences of their own choices. There should be no special test for investors, and the general test should be nothing but "caveat emptor."
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
The Department of the Treasury (Treasury) is adopting final rule amendments to the Bank Secrecy Act (BSA) effective January 1, 1996. In two separate actions, Treasury is making changes that will facilitate tracing funds through the wire-transfer process. One rule change requires
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend Rule 6957 to extend the effective date of the implementation of Phase Three of the Order Audit Trail System rules to 120 days after SEC approval of SR-NASD-00-23 (April 19, 2000), which also proposes changes to the OATS rules.
EBS Submissions Following Implementation of the Option Symbology Initiative
SummaryFINRA periodically reviews the content of qualification exams to ensure each exam remains current and appropriately tailored to the qualifications and subject matter being tested. Based on this review process, FINRA has revised the Research Analyst (Series 86/87) exam program to incorporate the functions and associated tasks a Research Analyst currently performs; reflect the laws, rules,
