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Regulatory Notice 16-33
FINRA Adopts Amendments Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only
Notice to Members 99-103
INFORMATIONAL Investment Companies And Variable Contracts Effective Date: April 1, 2000 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Mutual Fund Registered Representatives Senior Management Training Variable Contracts Investment Companies Mutual Funds
Tick Size Pilot Security List
On September 2nd, the Listing Exchanges will establish which securities will be included as Pilot Securities for the Tick Size Pilot Plan (“Plan”). With respect to the data collection obligations of the Plan, the Participants have determined that the Pre-Pilot Data Collection Securities shall be used to satisfy the Plan’s data collection requirements until thirty days prior to the start of the
Notice to Members 99-104
ACTION REQUIRED SOES Order Sizes SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Systems Trading SOES Maximum Order Sizes 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 Effective January 10, 2000, the maximum
Notice to Members 99-105
INFORMATIONAL Trade Date—Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Trade Date-Settlement Date Schedule 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
SR-FINRA-2016-034
Proposed Rule Change to Extend the Effective Date of SR-FINRA-2016-028
Regulatory Notice 16-32
FINRA Announces New Web-based System for the Collection of Short Interest Positions
Frequently Asked Questions Regarding FINRA Rule 2273
In March 2016, the SEC approved the adoption of FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers).
Notice to Members 99-106
INFORMATIONAL SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Schedule 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. The National
Notice to Members 99-107
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS 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