INFORMATIONAL
NYSE Series 7 Examination
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KEY TOPICS
Registration
Examinations
Fees
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
The New York Stock Exchange,
Proposed Rule Change to Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults)
SEC Approves Rule Change to Require Reporting of Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine (TRACE)
Effective Monday, July 10, 2017, FINRA member firms will be required to report transactions executed in Treasury securities (Treasuries) to TRACE as per Regulatory Notice 16-39.
The Treasury transaction message formats closely resemble the current TRACE Corporate format, with some differences, most notably:
The Trading Market Indicator, and existing P1 and S1 designations, will not be
On Monday, March 20, 2017, FINRA will implement changes and enhancements to TRACE trade reporting and dissemination.
INFORMATIONAL
OTC Bulletin Board
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Operations
Trading & Market Making
OTC Bulletin Board
Eligibility Rule
The Suggested Routing function is meant to aid the reader of this
SEC Approves Amendments to Disseminate Collateralized Mortgage Obligation (CMO) Transactions and to Reduce the Reporting Time for CMO Transactions
Aging and illness can change many things in a person's life, including the ability to manage one's own money. Learn five steps that can help you prepare in the event that diminished financial capacity becomes a serious problem for you or your loved ones.
Notice of FINRA District Committee Elections and Ballots
