Except for the FINRA Rule 9700 Series, all capital acquisition broker members shall be subject to the FINRA Rule 9000 Series, unless the context requires otherwise, provided, however, that:
(a) the term "associated person" as used in the FINRA Rule 9000 Series shall mean "associated person of a capital acquisition broker" or "person associated with a capital acquisition
Get information on the Annual CE obligations and statuses within your firm by logging in to FINRA Gateway, clicking on the Reports tab, and selecting the Individuals with Upcoming CE Obligations template.
(a) For purposes of the Rule 6300B Series, unless the context requires otherwise:(1) "Exchange Act" or "SEA" means the Securities Exchange Act of 1934.(2) "Designated securities" means all NMS stocks as defined in Rule 600(b) of SEC Regulation NMS.(3) "Member" means a broker or dealer admitted to FINRA membership.(4) "Market Maker" means
(a) For purposes of the Rule 6300A Series, unless the context requires otherwise:(1) "Exchange Act" or "SEA" means the Securities Exchange Act of 1934.(2) "Designated securities" means all NMS stocks as defined in Rule 600(b) of SEC Regulation NMS.(3) "Member" means a broker or dealer admitted to FINRA membership.(4) "Market Maker" means
An alternative trading system (ATS) is an SEC-regulated trading venue in which a computerized system matches buy and sell orders of securities. An ATS is not a national securities exchange, an ATS may apply to the SEC to become a national securities exchange. An ATS that registers as a broker-dealer must also comply with the obligations associated with being a registered broker-dealer, including FINRA membership and compliance with FINRA rules.
ACTION REQUESTED
Three Quote Rule
Comment Period Expires: January 11, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Trading & Market Making
Three Quote Rule
NASD Rule 2320(g)
Executive Summary
NASD Regulation, Inc. (NASD Regulation®) requests comment from members, investors, and other interested parties on a
IMPORTANT
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
LAST VOTING DATE IS FEBRUARY 14, 1985
Members of the National Association of Securities Dealers, Inc. ("NASD" or "Association") are invited to vote on certain amendments to the Association's By-Laws contained in Exhibit A to this Notice for Members. In addition, amendments to
The Liquidity Risk Management 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.
SUGGESTED rOUTING
Senior Management
Continuing Education
Legal & Compliance
Executive Summary
The Securities Industry/regulatory Council on Continuing Education (Council) includes 13 members representing a cross-section of securities firms and six self-regulatory organizations (SrOs).1
This is an update to the schedule for the rollout of FINRA’s Multi Factor Authentication (MFA). As part of its Transparency Services improvement initiatives, FINRA is introducing a new method for users to gain secure access to the TRAQS website and will be introducing a new system infrastructure for its products.
On Monday, April 19, 2021 (previously January 25, 2021), FINRA will
