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NASD 2002 Renewals Program
On Monday, July 18, 2016, FINRA will implement changes and enhancements to TRACE trade reporting and dissemination, as outlined in a Technical Notice from December 10, 2015.
Proposed Rule Change to Adopt FINRA Rule 4554 (Alternative Trading Systems - Recording and Reporting Requirements of Order and Execution Information for NMS Stocks)
INFORMATIONAL
NAC Nominations
Nomination Deadline: September 14, 2001
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill two upcoming vacancies on the National Adjudicatory Council (NAC). The two-year terms of
On Thursday, April 21, 2016, FINRA will hold an industry call and WebEx presentation to discuss the Tick Size Pilot Data Collection efforts.
Financial-Readiness Program Helps Military Spouses Foster Their Own Careers
WASHINGTON — The FINRA Investor Education Foundation's Military Spouse Fellowship Program today opened the application process for its 2016 class of Military Spouse Fellows. The program provides military spouse recipients with the education and training needed to earn the Accredited Financial Counselor® (AFC®)
A member firm that routes an unsolicited customer order for a variable life settlement to another member firm that is permitted to engage in such activity would not constitute a material change in the routing firm’s business operations that would require it to file a continuing membership application, provided that the stated conditions are satisfied.
WASHINGTON, D.C. — The Financial Industry Regulatory Authority's Board of Governors today approved a proposal designed to help retail customers understand and compare transaction costs in fixed-income securities. The proposal, subject to the approval of the Securities and Exchange Commission, would require member firms to disclose on retail customer confirmations the "mark-up" or
INFORMATIONAL
Dispute Resolution
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Arbitration/Mediation
Dispute Resolution
Executive Summary
NASD Dispute Resolution, Inc. (NASD DR) recently established Orlando as the third hearing location within the State of Florida. Boca Raton and Tampa will continue as hearing locations in Florida.
The Southeast Regional
Rulemaking item discussed at the February 2016 meeting: fixed income pricing disclosure.