INFORMATIONALSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesBoard ElectionsExecutive SummaryThe Annual Meeting of Members of NASD will be held on January 4, 2005, at 11:00 am, at the NASD Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to conduct the election of Governors to the NASD Board. Members can raise other topics for discussion by properly
(a) When and How Transactions are Reported(1) Trade Reporting Facility Participants shall, as soon as practicable but no later than 10 seconds after execution, transmit to the FINRA/Nasdaq Trade Reporting Facility or if the FINRA/Nasdaq Trade Reporting Facility is unavailable due to system or transmission failure, by telephone to the FINRA/Nasdaq Trade Reporting Facility Operations Department,
(a) When and How Transactions are Reported(1) Transaction Reporting During Normal Market HoursMembers shall, as soon as practicable but no later than 10 seconds after execution, transmit to the ADF, or if the ADF is unavailable due to system or transmission failure, by telephone, facsimile or e-mail to FINRA Market Operations, last sale reports of transactions in ADF-eligible securities executed
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
On June 1, 1988, the NASD will institute the Limited Representative—Corporate Securities, a new category of registration. This new registration category will qualify persons associated with NASD members to solicit, purchase, or sell corporate securities, as defined in the amendment to Schedule C Part III, Section 29(e) to the
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
On January 4, 1988, the NASD will install the Limited Representative—Corporate Securities category of registration on the Central Registration Depository System. This new registration category will qualify persons associated with NASD members to solicit, purchase, or sell corporate securities, as defined in the amendment to
Alternative, "alt" or “liquid alt” funds are publicly offered, SEC-registered funds that use investments or strategies that can differ from what is offered in a typical fund. Compared to more traditional mutual funds and exchange-traded funds (ETFs), liquid alt funds tend to hold investments that extend beyond equities and bonds or employ more complex or sophisticated strategies.
See link to FINRA Regulatory Notices 21-31, which includes the schedule and instructions:
https://www.finra.org/sites/default/files/2021-09/Regulatory-Notice-21-31.pdf
SECTION 1. REVERSE REPURCHASE AND REPURCHASE AGREEMENTS
Question 1.1: The instructions under Section 1 state in part that members should report the gross contract value of all reverse repurchase and repurchase agreements by
INFORMATIONAL
NASD Board Of Governors Nominees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
NASD Board Of Governors
National Association of Securities Dealers, Inc. Notice Of Nominees
The Annual Meeting of members of the National Association of Securities Dealers, Inc. (NASD®) will be held on September 13, 2001. The formal notice of the
The present name of the corporation is Financial Industry Regulatory Authority, Inc. (the "Corporation"). The Corporation was originally incorporated as a nonstock corporation under the name of Investment Bankers Conference, Inc., and its original Certificate of Incorporation was filed with the Secretary of State of the State of Delaware on September 3, 1936. This Restated
Rule 606 of Regulation NMS requires broker-dealers to disclose information regarding the handling of their customers’ orders in NMS stocks and listed options. These disclosures are designed to help customers better understand how their firm routes and handles their orders, assess the quality of order handling services provided by their firm, and ascertain whether the firm is effectively managing potential conflicts of interest that may impact their firm’s routing decisions.
