INFORMATIONAL
Risk Management Practices
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Risk Management Practices
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
The Securities and Exchange
INFORMATIONAL
Trade Date— Settlement Date
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KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date— Settlement Date Schedule
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the
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Senior Management
Continuing Education
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Registered Representatives
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Training
Executive Summary
On September 22, 1998, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD® or Association) rules regarding
As prepared for delivery.
Good morning. First let me thank Martin Baily for the invitation to talk with you this morning. Martin, I also want to commend you for the work you do here in Washington to bring about a greater understanding of business and the economy and, specifically of financial regulation.
It’s a pleasure to be here today to participate in this important discussion on the role of
FINRA Requests Comment on a Proposal to Identify OTC Equity Trades Reported More Than Two Seconds After Execution as “Out of Sequence” and Not Last Sale Eligible
FINRA Reminds Firms of Their Obligations to Determine Whether Securities are Eligible for Public Sale
I am Daniel M. Sibears, Vice President, Member Regulation of NASD Regulation, Inc. (NASDR). I appreciate the opportunity to appear before you today to give the views of the National Association of Securities Dealers, Inc. (NASD) on the examination of the securities activities of banks and other financial institutions.
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Internal Audit
Legal & Compliance
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Operations
Syndicate
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Veterans' Day And Thanksgiving Day: Trade Date — Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veterans' Day, Tuesday, November 11, 1997, and Thanksgiving
FINRA Rule 7470 contains a provision that permits FINRA to grant exemptive relief from the OATS reporting and recording requirements for manual orders in certain circumstances, for example, where reporting of such information would be unduly burdensome for the member or where temporary relief from the rules would permit the member to avoid unnecessary expense or hardship (in the form of additional time to achieve compliance).
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Advertising
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Mutual Fund
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Options
Registration
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Trading
Training
Executive Summary
The Office of General Counsel, NASD Regulation, Inc. (NASD RegulationSM) and Office of General
