(a) Standards for Member Conduct
Except as otherwise provided in this Rule, a member that is a party to a networking arrangement under which the member conducts broker-dealer services on or off the premises of a financial institution is subject to the following requirements:
(1) Setting
A member that conducts broker-dealer services on the premises of a financial institution shall:
(A) be
Testing the Effectiveness of Financial Education Across 76 Randomized Experiments
FINRA Firm Grouping Conference is a one-day conference designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The conference includes thoughtful discussions around the future landscape of the financial services industry. In-person attendees have access to breakout
December 19, 2002
NASD began posting each member's NASDAQ Execution System Order/Route Matching statistics on the OATS Web interface on November 1, 2002. These statistics reflect the percentage of OATS Route Reports and/or Combined Order/Route Reports with a Routing Method Code of "U" (SuperMontage) or "L" (SelectNet) that OATS was able to link to the related order in
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) today announced that it has added features to BrokerCheck to help users more easily access broker-dealer and investment adviser registration information.
Proposed Rule Change to Adopt FINRA Rule 6490 Relating to Processing of Company-Related Actions and Implementing Fees for Such Services
Clarification Of Special Notice To Members 97-55
In August 1997, the National Association of Securities Dealers, Inc. (NASD®) published Special Notice to Members 97-55 entitled "New Membership Application Rules, New Code of Procedure and Other New Disciplinary Rules," which described, among other things, the new Code of Procedure and when such Rules would apply to a disciplinary
SEC Reporting Requirement
In July of this year, the National Association of Securities Dealers, Inc. (NASD®) issued Special Notice to Members 98-63alerting members to a new reporting requirement imposed by an amendment to Securities and Exchange Commission (SEC) Rule 17a-5. The SEC rule amendment requires broker/dealers to file two Year 2000 reports using the new BD-Y2K Form. The first report
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Executive Summary
The Securities and Exchange Commission (SEC) is soliciting comment on temporary rule amendments to SEC Rule 17a-5 that would require broker/dealers to file two reports
What is proper evidence of compliance with clock synchronization requirements pursuant to NASD Rule 6953?<br />
