SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual FundTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article III, Section 15 of the NASD Rules of Fair Practice. The amendments would exempt certain bulk exchanges of money market mutual funds utilizing
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
As detailed below, the following seats are contested:
Midwest Region Committee, District 4 representative
Midwest Region Committee, District 8 representative
North Region Committee, District 9
SUGGESTED ROUTING:*
Senior ManagementOperations*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD has filed an amendment to Section 13 of Schedule A to the NASD By-Laws with the Securities and Exchange Commission relating to the NASD's service charge for reviewing advertisements, sales literature, and other similar material.
(a) Documents to be Available for Inspection and Copying
(1) Unless otherwise provided by this Rule, or by order of the Hearing Officer, the Department of Enforcement shall make available for inspection and copying by any Respondent, Documents prepared or obtained by Interested FINRA Staff in connection with the investigation that led to the institution of proceedings. Such Documents
Held between November 2021 and August 2024, the Disclosure Reporting Webinar Series provided basic information about different types of reportable events. These sessions were designed for compliance professionals at FINRA-member broker-dealers who submit filings and documents to FINRA regarding disclosure events that are reportable for registered representatives and firms.The content of the
As a retail investor with over 15 years experience, I would like to urge FINRA to enact, with all haste, any and all new rules or amendments that make the American market more transparent and fair for all investors. For far too long the majority of investors have been in the dark in regards to short interest, robbing us of the ability to make informed decisions while researching and deciding on
I cannot believe in the "greatest country in the world" we have to comment on whether transparency on the very thing that provides a backbone for the world economy is a good idea. ALL information regarding what occurs on our markets should be readily accessible by everyone. Having a select few entities control all of the information is the definition of an oligarchy in a world where
INFORMATIONAL
Weighted Average And Special Pricing Formula Trades
Effective Date: July 17, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Trading & Market Making
Training
Transaction Reporting
Executive Summary
On May 31, 2000, the Securities and Exchange Commission (SEC) approved changes to National Association of Securities Dealers, Inc. (
Boston Stock Exchange (BSE) specialists effecting transactions in NYSE securities through ECNs, or Nasdaq securities through the UTP Plan, from terminals located on the floor of the BSE, are effecting transactions on the floor of the BSE for purposes of NASD Rules 1032(f) and 1060.<br/>
Order entry personnel are not required to register under Series 55 as equity traders based solely on the fact that they enter orders into routing systems, which send the orders to clearing firms for execution. Also, not all persons to whom equity traders report need to be Series 55 registered.<br/>
