The TRACE Treasuries Execution Time Difference report is a monthly summary of execution time comparisons for inter-dealer trades in U.S. Treasury Securities reported to TRACE. Firms are required to report trades in accordance with established FINRA rules and regulations.
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
Executive Summary
On September 12, 1994, the Securities and Exchange Commission (SEC) approved an NASD rule change that amends the Prompt Receipt and Delivery of Securities Interpretation (Interpretation) issued by the NASD Board of Governors under Article III, Section 1 of the NASD Rules of Fair Practice. Specifically, the
SUGGESTED ROUTING
Senior Management
Government Securities
Institutional
Legal & Compliance
Operations
Executive Summary
The Board of Governors of the Federal Reserve System is seeking comments on proposed amendments to Regulation T (Credit by Brokers and Dealers) regarding settlement of securities purchases and the status of government securities
Frequently Asked Questions (FAQ) covering reporting of corporate and agencies debt, reporting of mortgage and asset backed securities to the Trade Reporting and Compliance Engine (TRACE)
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
SUGGESTED ROUTING*
Corporate FinanceGovernment SecuritiesInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining
*These are suggested departments only. Others may be appropriate for your firm.
The NASD published the following Notices to Members during 1989. Duplicate copies are available at $15 per monthly issue. Requests
SEC Approves Consolidated FINRA Rules Governing Financial Responsibility
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD is publishing the views of the Corporate Financing Committee on questions that members frequently ask when they are involved in offerings of securities to be conducted pursuant to SEC Rule 415
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 5, 1985, 100 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,374. These 100 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
