SUGGESTED ROUTING
Senior ManagementLegal & ComplianceMutual FundRegistration
Executive Summary
On January 18, 1993, the NASD's Board amended its Public Disclosure Program to make additional regulatory information on its members and associated persons available to the public. The Board's action will expand this program to include civil judgments and NASD arbitration
Rule Filing Status As Of March 4, 1999
NASD Rule Filing Status
The following is a list of rule filings by the National Association of Securities Dealers, Inc. (NASD® or Association) that are pending at the Securities and Exchange Commission (SEC); recently have been approved and have not been announced in a Notice to Members; or recently have been withdrawn. The information is current as of
I do not nor condone of any testing of etfs for trading !!
the system right now is set up for me perfectly since I am a inverse trader. it is a trading system I use instead of shorting stocks which if I had to like most inverse traders would defiantly do along with day trading which in my opinion would cause havoc on quality stocks and the market and also would cause a lot of traders to go into options were a lot of traders would get hurt financially. I
SummaryArtificial intelligence (AI), including large language models (LLMs) and other generative AI (Gen AI) tools, present promising opportunities for member firms to enhance their products and services for investors and achieve operational and compliance efficiencies. As member firms incorporate the use of Gen AI or similar tools into their businesses, they should be mindful of the potential
This is the final reminder that beginning Monday, March 16, 2020, FINRA will no longer support the reporting of transactions to its TRACE and OTC Reporting Facility (ORF) products via the CTCI protocol.
Any client, including Service Bureaus, that currently utilizes CTCI and wishes to continue to deliver electronic transactions (i.e. not via TRAQS) must migrate to the FIX protocol by Monday,
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
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 21, 1987, 12 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,850. These 12 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
How strong is your password, really? Do you use the same one on a number of accounts? Or refer to your dog Fluffy in all of them? Chances are some or all of your login codes could use a change.
Our passwords are a key component of our lives, and as more of the services we rely on every day move online, the stakes grow ever higher. Here are 7 tips to improve your passwords—and your security
INFORMATIONAL
OATS
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Order Audit Trail System
Executive Summary
NASD Regulation, Inc. (NASDR) is issuing this Notice to Members as part of
