Proposed Rule Change to Amend NASD Rule 2711 to Conform with the Requirements of the Jumpstart Our Business Startups Act and Related Changes
Proposed Rule Change to Adopt FINRA Rule 3270 (Outside Business Activities of Registered Persons) in the Consolidated FINRA Rulebook
The Anti-Money Laundering section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
Options Trading Activity, Demographic Changes for FINRA-Registered Representatives Among New Data Available in this Year’s Snapshot
WASHINGTON – FINRA today published the 2023 Industry Snapshot, the annual statistical report on registered representatives, brokerage firms, and market activity that FINRA oversees. This year’s edition adds new data about options trading activity, and
Request for Interpretive Guidance Under NASD Rule 2711
SummaryFINRA periodically reviews the content of qualification exams to ensure each exam remains current and appropriately tailored to the qualifications and subject matter being tested. Based on this review process, FINRA has revised the Research Analyst (Series 86/87) exam program to incorporate the functions and associated tasks a Research Analyst currently performs; reflect the laws
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of August 25, 1992, the following 36 issues joined the Nasdaq National Market, bringing the total number of issues to 2,927:
Symbol
Company
Entry Date
SOES Execution Level
HEAT
Petroleum Heat and Power Co., Inc. (Cl A)
7/29/92
1000
SFTIF
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of August 13, 1990, the following 35 issues joined NASDAQ/NMS, bringing the total number of issues to 2,641:
Symbol
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, June 7, 1988, the following 10 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,950:
Symbol*
Company
Location
CPAK
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 20, 1987, the following 10 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,077:
Symbol*
Company
Location
CNTX
