NASD is publishing this article to provide guidance to firms on how to report order events to OATS when using an "intelligent" order routing system.
INFORMATIONALExpungementEffective Date: April 12, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceRegistered RepresentativesSenior ManagementArbitrationCentral Registration Depository (CRD®)Customer Dispute InformationDispute ResolutionExpungementRule 2130Executive SummaryOn December 16, 2003, the Securities and Exchange Commission (SEC) approved new Rule 2130 concerning the
INFORMATIONAL
Fixed Income Pricing SystemSM
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Senior Management
Trading
FIPS
As of April 23, 2002, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ACGH.GA
American Color Graphics Inc.
12.750
08/01/05
AMWA.GB
Summary
FINRA alerts member firms to a rising trend in the fraudulent transfer of customer accounts through the Automated Customer Account Transfer Service (ACATS), an automated system administered by the National Securities Clearing Corporation (NSCC), that facilitates the transfer of customer account assets from one firm to another.
This Notice provides an overview of how bad actors effect
You think you’re arguing from a position of strength. You think asking for the public to comment you’re assuaging the masses. You think we think you’ll actually do something honorable and equitable in response to this open comment forum. We know better. It’s all coming out now. Again. We know you’ve rigged the game and corrupted the market. We know you only pay lip service when moralizing an open
FINRA customers using a VPN to access the MPP products’ (ADF, ORF, TRACE, TRF) FINRA test network (NTF) will be required to make a configuration change by close of business, May 3, 2024.
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperations
Executive Summary
Schedule D and Schedule H of the NASD By-Laws require members to respond to regulatory requests for trading data by using a standardized automated format. In Notice to Members 93-26 (April 1993), members were urged to take immediate action to ensure the timeliness, accuracy, and completeness of
FINRA Requests Comment on Proposed Amendments to FINRA Rules to Support the Industry Initiative to Shorten the Settlement Cycle for Securities in the U.S. Secondary Market From T+3 to T+2
I should be able to choose the public
investments that are right for me and my family.
Public investments should be available to all of the public,
not just the privileged.
I shouldn't have to go through any special process
like passing a test before you can invest in public securities, like leveraged and inverse funds.
I am fully capable of understanding leveraged and
REGULATORS:
I not regulators should be able to choose the public
investments that are right for me and my family.
Public investments should be available to all of the public,
not just the privileged.
I shouldn't have to go through any special process
like passing a test before you can invest in public securities, like leveraged and inverse funds. I am
capable of
