Reports published for firms to monitor their performance in reporting disclosure and non-disclosure events and CRD late filing fee information.
Comment Period Expires September 13, 1999
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
SEC Approves FINRA ‘‘Pay-To-Play’’ and Related Rules
Special NASD Notice to Members 99-74
Suggested Routing
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
INFORMATIONAL
NYSE Series 7 Examination
SUGGESTED ROUTING
KEY TOPICS
Registration
Examinations
Fees
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
The New York Stock Exchange,
Proposed Rule Change to Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults)
SEC Approves Rule Change to Require Reporting of Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine (TRACE)
Effective Monday, July 10, 2017, FINRA member firms will be required to report transactions executed in Treasury securities (Treasuries) to TRACE as per Regulatory Notice 16-39.
The Treasury transaction message formats closely resemble the current TRACE Corporate format, with some differences, most notably:
The Trading Market Indicator, and existing P1 and S1 designations, will not be
On Monday, March 20, 2017, FINRA will implement changes and enhancements to TRACE trade reporting and dissemination.
