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Notice to Members 05-12
GUIDANCEEligibility ProceedingsEffective Date: March 7, 2005SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesRegistered RepresentativesLegal & ComplianceSenior ManagementClerical and Ministerial ActivitiesMC-400 ApplicationRule 9520 Series—Eligibility ProceedingsRule 9522Statutory DisqualificationExecutive SummaryNASD's Rule 9520 Series sets forth NASD's
TRACE for Treasuries Re-platform
Beginning on February 26, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. This project does not require client changes to be made.
1000. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION
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Cambridge Investment Research, Inc. Comment on Special Notice 7/30/18
Credit Suisse Securities (USA) LLC. Comment on Special Notice 7/30/18
Franklin Gold Comment on Special Notice 7/30/18
Todd Krajniak Comment on Special Notice 7/30/18
Micro Focus Comment on Special Notice 7/30/18
CleverDome Comment on Special Notice 7/30/18
Corlytics Comments on Special Notice 7/30/18