Remarks from the Women in Housing and Finance Luncheon, as prepared for delivery.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, June 21, 1988, the following 14 issues are scheduled to join the NASDAQ National Market System (NASDAQ/NMS), bringing the total number of issues in NASDAQ/NMS to 2,954:
Symbol*
Company
Location
SOES Execution
This data provides trading volume in U.S. Treasury securities reported to TRACE for the prior day. The daily aggregate data is published at 8:00 PM ET every business day. The first daily was published February 13, 2023.
Treasury bond data is aggregated by security subtype: Bills, Floating Rate Notes (FRN), Nominal Coupons and Treasury Inflation-Protected Securities (TIPS). The data is further
The Alternative Display Facility ("ADF") is a facility operated by FINRA for members that choose to quote or effect trades in ADF-eligible securities otherwise than on an exchange. The ADF collects and disseminates quotations and trade reports, and compares trades. Those FINRA members that use ADF systems for quotation or trade reporting activities must comply with the Rule 6200 and
Nagengast Elected to Fill One of Three Large-Firm Seats on FINRA Board
WASHINGTON – FINRA announced the results of voting by its large firm members that took place at its Special Meeting on June 28 to elect one Large-Firm Governor to the FINRA Board of Governors. Jim Nagengast, Chief Executive Officer (CEO) of Securities America Financial Corporation Inc. and President of Securities America Inc
As we approach the end of the first quarter of 2024, FINRA’s Cyber and Analytics Unit (CAU) proactively warns member firms of continuing social engineering campaigns involving fraudulent representations of individuals purporting to be FINRA representatives. As with many types of social engineering campaigns, threat actors may use website domain names (sites) that are similar to FINRA.org (e.g., Finra-latam.org, finra.world, finra.eu), fraudulently use FINRA’s logo or purport to be legitimate FINRA employees. These domains and individuals are not associated with FINRA.
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
The Department of Treasury (Treasury) recently asked the NASD to provide members with the Office of Foreign Assets Control's (OFAC) latest list of persons and entities identified as "Specially Designated Nationals and Blocked
When reporting to OATS, Reporting Members are required to provide a "Received Method Code" on order events including New Order Reports (NW), Cancel/Replace Reports (CR), Combined Order/Execution Reports (OE), and Combined Order/Route Reports (OR).
I M P O R T A N T
MAIL VOTE
Officers * Partners * Proprietors
TO: All NASD Members
Last Voting Date is January 9, 1984
Attached are amendments regarding two separate issues which are being submitted to the membership for a vote. The first issue is that of amendments to the proposed Corporate Financing Rule filing requirements which would exempt from those requirements all debt and equity
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On September 15, 1989, the Securities and Exchange Commission issued Release No. 34-27249 containing proposed amendments to Rule 15c3-1
