This email is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@claims-finra.org.” The domain of “claims-finra.org” is not connected to FINRA and firms should delete all emails originating from this domain name.
INFORMATIONAL
OATS Limit Order Display Indicator
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Training
Limit Order Display
Order Audit Trail System (OATS)
Executive Summary
The purpose of this Notice is to reiterate to members one of the requirements of the National Association of Securities Dealers, Inc. (NASD®) Rules 6950
In securities transactions, whether in "listed" or "unlisted" securities, if a member buys for his own account from his customer, or sells for his own account to his customer, he shall buy or sell at a price which is fair, taking into consideration all relevant circumstances, including market conditions with respect to such security at the time of the transaction, the expense
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On March 1, 1991, the SEC approved an NASD proposal to amend Schedule H to the NASD By-Laws to eliminate the current reporting thresholds of $10,000 or 50,000 shares so that the reporting requirements of Schedule
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT
EXECUTIVE SUMMARY
Participation in the Securities and Exchange Commission-approved Automated Confirmation Transaction (ACT) service will become mandatory for all self-clearing firms during the first quarter of 1990. The
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The Congress has recently enacted legislation providing sanctions against certain transactions with South Africa or South African entities. This notice provides information relating to certain provisions of that Act which may relate to the business of NASD members.
On October 2, 1986, Congress enacted the Comprehensive Anti-
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS OCTOBER 3, 1986.
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed new Rule of Fair Practice, which would require members to maintain a record of their total "short" positions in NASDAQ securities in all customer and proprietary firm accounts and report this information,
The FINRA North Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the North Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry, and provides
The FINRA New York Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the New York Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry, and the
FINRA’s Institutional Conference brings together industry experts, executives and policymakers to share their specialized knowledge and experiences on topics affecting institutional firms across the country. This one-day conference is designed to facilitate meaningful dialogue on a range of topics in an educational format that encourages the exchange of ideas and opinions. The conference also offers participants opportunities to interact, share effective practices and learn from representatives from institutional firms, regulators and exhibitors.
