FINRA Announces New Web-based System for the Collection of Short Interest Positions
Chairman Dodd, Ranking Member Shelby and Members of the Committee: I am Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
Gross Income Assessment, Personnel Assessment, and Regulatory Fee
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KEY TOPICS
Compliance
Legal
Senior Management
Gross Income Assessment
NASD By-Laws
Personnel Assessment
Regulatory Fee
Executive Summary
NASD is issuing this Notice to Members to inform members that NASD's Board of Governors has approved proposed changes to NASD's Gross
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission has amended Rule 15c3-3 under the Securities Exchange Act of 1934. These amendments, which for the most part, become effective on November 22, 1985, are designed to assure that customer funds and securities held by broker-dealers are protected against misuse or insolvency. It is anticipated that the net
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
BACKGROUND
On April 18, 1983, the Securities and Exchange Commission issued Release No. 34-19687 announcing the adoption of changes to Rule 10b-10 under the Securities Exchange Act of 1934 (17 CFR 240 lOb-10), the "securities confirmation rule," (the "Rule"). Rule 10b-10 requires broker-dealers to send
The Municipal Continuing Disclosure Report displays statistics about transactions that your firm effected with customers. The report provides relevant information about the availability of official statements, annual financial filings, and event filings on the MSRB's Electronic Municipal Market Access system (EMMA) at the time the securities were sold or purchased. Specifically, the report
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Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceMunicipalOperationsSystems
Executive Summary
On April 11, 1994, The Nasdaq Stock Market, Inc., began operation of the Fixed Income Pricing System (FIPS) for members trading high-yield bonds. Initially, 35 bonds were designated as FIPS issues requiring quotation entry by brokers and dealers. The
As the world’s largest securities self-regulatory organization, NASD has been helping to bring integrity to the markets and confidence to investors for more than 60 years.
REQUEST FOR COMMENT
Branch Office Definition
Comment Period Expires: September 20, 2002
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CRD
Legal & Compliance
Member Regulation
Operations
Senior Management
Branch Office Definition
Rule Modernization
Rule 3010(g)(2)
Executive Summary
NASD requests comment from members, investors, and other interested parties on proposed
ACTION REQUESTED BY OCTOBER 29, 1999
Comment Period Expires October 29, 1999
Advertising Regulation
NASD Regulation Requests Comment on Proposed Amendments to Provisions Governing Communications with the Public; Comment Period Expires October 29, 1999
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Advertising/Investment Companies
Internal Audit
Legal & Compliance
Mutual Fund
Registered
