It has come to FINRA’s attention that the securities listed below have been set up on FINRA’s TRACE system, but have previously also been identified as municipal securities. As a result, transactions in many of these securities have been reported to both TRACE and the MSRB’s Real-Time Transaction Reporting System (RTRS).
In light of the above, FINRA contacted several of these securities’
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make permanent FINRA Rules 6190 (Compliance with Regulation NMS Plan to Address Extraordinary Market Volatility) and 6121.01 (Resumption of Trading in Securities Subject to the Regulation NMS Plan to Address Extraordinary Market Volatility
Proposed Rule Change Relating to FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes
Proposed Rule Change to Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
FINRA Announces Update of the Interpretations of Financial and Operational Rules
Proposed Rule Change to Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
FINRA Provides Guidance on Customer Communications Related to Departing Registered Representatives
New Rate for Fees Paid Under Section 31 of the Exchange Act
Required information, personal items allowed and test-center provided aids for Pearson VUE and Thomson Prometric test sites.
September 2005
In a continuing effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each
