SUGGESTED ROUTING*
Senior Management
Internal Audit
Operation
Trading
*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum SOES order size for all NASDAQ National Market System (NASDAQ/NMS) securities was established as follows:
A 1,000-share maximum
Currently, some ATS firm data is being displayed under multiple names, but for the same MPID. This is due to a mid-reporting period name change. FINRA is currently updating the display requirements to reflect only the Name associated with the MPID at the start of the reporting period. When the fix has been implemented and the historical data has been updated, FINRA will issue another Technical
From cryptocurrency to NFTs and other options beyond your 401(k), choosing the right investments to meet your financial goals can feel overwhelming.
FINRA Rule 5123(a) requires firms that sell a private placement to file a copy of any offering document with FINRA within 15 calendar days of the first sale, subject to certain exemptions. FINRA Rule 5122(b)(2) requires firms that sell a private placement of unregistered securities issued by a member or a control entity to file a copy of any offering document with FINRA at or prior to the time it
ACTION REQUIRED
Research Analysts and Research Reports
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Senior Management
Operations
Research Reports
Qualification and Registration
Continuing Education Requirements
Advertising
Investment Banking
Executive Summary
On July 29, 2003, the Securities and
Comment Period Expires: September 30, 1998
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registered Representatives
Registration
Executive Summary
Under the current interpretation governing the Public Disclosure Program, information on all felony offenses is disclosed indefinitely. NASD Regulation, Inc. (NASD Regulation) requests comment from members and other interested
Effective with the October 3, 2011 OATS Release, the OATS Rules will require member firms to report to FINRA order information for all NMS stocks and OTC equity securities. Initial public offerings (IPOs), secondary offerings, Direct Participation Programs (DPPs), "restricted securities", as defined by SEC Rule 144(a)(3) under the Securities Act of 1933, and any securities designated in the PORTAL Market are not reportable to OATS.
Module 1: Stocks and Stock Options is intended primarily for futures professionals as an introduction to securities and securities law concepts. FINRA will not require broker/dealers to administer the content of Module 1 to securities registrants. Firms should decide on their own whether their employees would benefit from the basic securities overview.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JUNE 30, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Schedule D to the NASD By-Laws that would make an issuer ineligible for initial or continued inclusion in the NASDAQ System if it issues securities or takes corporate action that would have the effect of nullifying, restricting, or
