Displaying 2121 - 2130 of 33929 Results
Monthly Disciplinary Actions November 2016
CSLA
Reminder: FINRA MPP Client Connections to Nasdaq Data Center
FINRA client connections to its Multi Product Platform (MPP) services, such as TRACE, the Over the Counter Reporting Facility (ORF), the OTC Bulletin Board (OTCBB) and the Alternative Display Facility (ADF) are routed through Nasdaq, which acts as FINRA's service provider.
Notice to Members 99-63
SEC Approves And Adopts Revised Forms And Electronic Filing Requirement; New Member Applicants Should Continue To File Paper Forms Suggested Routing Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations
Notice to Members 99-64
NASD Informs Members Of Upcoming Nomination Procedures For Industry Member Vacancies On The National Adjudicatory Council Suggested Routing Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options
Revised TRACE Securitized Products API Specification
FINRA has updated the TRACE Web API Specification for Securitized Products - Version 4.9b   to help firms meet the reporting requirements for CMO transactions as outlined in Regulatory Notice 16-38. In addition to the changes outlined in version 4.9 published on October 18, 2016, First Settlement Date has been added to the Security Master and Daily List
Notice to Members 99-65
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered
Market Transparency
FINRA operates systems that help member firms comply with reporting requirements and facilitate transparency in the applicable markets. Alternative Display Facility (ADF) The Alternative Display Facility (ADF) is an SRO display only facility that is operated by FINRA. The ADF provides members with a facility for the display of quotations, the reporting of trades, and the comparison of trades.
SR-FINRA-2016-041
Proposed Rule Change Relating to the Implementation Date for Alternative Trading Systems to Report Sequence Numbers Under Rule 4554
Notice to Members 99-66
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered