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Regulatory Notice 19-22
Summary FINRA requests comment on a proposal to expand the alternative trading system (ATS) volume data that it publishes on its website to include information on transactions in corporate bonds and agency debt securities that occur within an ATS and are reported to FINRA’s Trade Reporting and Compliance Engine (TRACE). Questions concerning this Notice should be directed to: Chris Stone,
Testimony Before the Subcommittee on Financial Management, the Budget and International Security Senate Committee on Government Affairs
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
Notice to Members 01-54
INFORMATIONAL Minor Violations Of Rules And Late Fees SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Minor Rule Violation Plan Schedule A of the NASD By-Laws Executive Summary On July 3, 2001, the Securities and Exchange Commission (SEC) approved rule changes proposed by the National Association of Securities Dealers, Inc. (NASD®) that
Remarks From the Financial Policy Joint Conference on Market Fragmentation, Fragility and Fees
FINRA's John Brennan dispels the "rigged markets" myth, touts tech's benefits for investors and advocates transparency and simple fixes for market challenges.
FINRA Bond Facts Tool Terms and Conditions
The Financial Industry Regulatory Authority, Inc. (“FINRA”) provides investor education content, security-specific product data (described below) and publicly disseminated trade report on transactions in TRACE-eligible, fixed income securities through the bond facts tool. The data accessed through the tool and the bond facts tool are herein after referred to as the “Bond Facts Tool".
Regulatory Notice 11-33
SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule
Regulatory Notice 08-67
FINRA Announces Electronic Filing Process For Qualification Examination Waiver Requests and Series 16 Experience Acceptability Requests
Regulatory Notice 08-46
08-46 - Interpretive Guidance on Capital Treatment of Introducing Broker-Dealers' Clearing Deposits
Interpretive Letter to Mr. Julian Rainero, Bracewell & Giuliani LLP
NASD Rules 6950-6957 (OATS)
Notice to Members 05-24
GUIDANCE Research Analysts and Research Reports SUGGESTED ROUTING KEY TOPICS Continuing Education Executive Representatives Legal & Compliance Registration Research Senior Management Training Qualification Examinations Registration Research Reports Rule 1050 Supervision Executive Summary NASD