Displaying 2111 - 2120 of 9026 Results
Summary
Several member firms recently notified FINRA that they have experienced email account takeovers (ATOs) while using cloud-based email platforms, including Microsoft Office 365 (O365). Attackers used compromised email accounts to defraud member firms by requesting fraudulent wire requests or stealing confidential firm information or non-public personally identifiable information (PII).
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 6740 to (1) relieve members of the obligation to file with NASD copies of certain information that is electronically accessible through the SEC's Electronic Data Gathering, Analysis, and Retrieval ("EDGAR") system; and (2) exclude from
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
As of March 23, 1993, the following 55 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,032:
Symbol
Company
Entry Date
SOES Execution Level
CMPO
Campo Electronics Appliances & Computers Inc.
2/24/93
1000
FSOU
First Southern Bancorp, Inc.
2/24/93
500
PENVF
Philip Environmental
INFORMATIONAL
TRACE Fees
The fee changes are effective as of October 1, 2002
SUGGESTED ROUTING
KEY TOPICS
Compliance
Legal
Operations
Senior Management
Rule 7010(k)
TRACE FeesRule 6200 Series
Executive Summary
On November 15
INFORMATIONAL
Notices to Members
SUGGESTED ROUTING
KEY TOPIC
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
Notices to Members
The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1999. Copies are available for $25 per monthly or special
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PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY
IM-13000. Failure to Act Under Provisions of Code of Arbitration Procedure for Industry Disputes
13100. Definitions
13101. Applicability of Code and Incorporation by Reference
13102. National Arbitration and Mediation Committee
13103. Director of FINRA Dispute Resolution Services
13104. Effect of Arbitration on
Market volatility in recent weeks has surpassed anything else in history in terms of both the extremity and duration. Despite that, the so-called plumbing of U.S. financial markets has held up remarkably well. On this episode, we talk to FINRA’s head of Market Regulation to learn how the evolution of U.S. market structure contributed to that resilience.
SUGGESTED ROUTING*
Corporate Finance
Government Securities
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Registration
Research
Syndicate
Systems
Trading
Training
*These are suggested departments only. Others may
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend Rules 2320(g) and 3110(b) to: (1) require that members executing a customer order in a non-Nasdaq security contact and obtain quotations from three dealers (or all dealers if three or less) to determine the best inter-dealer market for the security, unless two or more
FINRA Waives Certain Trade Reporting and Compliance Engine (TRACE) Late Trade Reporting Fees in Connection With Hurricane Sandy