GUIDANCE
Discovery-Related Motions
Effective Date: September 26, 2005
SUGGESTED OUTING
KEY TOPICS
Legal & Compliance
Discovery-Related Motions
Dispute Resolution
Executive Summary
The Securities and Exchange Commission (SEC) has approved an amendment to Interpretive Material (IM) 10104 of the NASD Code of Arbitration Procedure (Code)
INFORMATIONAL
NAC Nominee
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to announce the nominee for the National Adjudicatory Council (NAC) from the North Region. The nominee, nominated for a three-year term
GUIDANCE
Trade Reporting and Compliance Engine (TRACE)
Effective Date: October 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Registered Representatives
Senior Management
Technology
Training
Debt Securities
Operations
Rule 7010
Transaction Reporting
Executive Summary
On August 1, 2005
ACTION REQUIRED
Volume-Weighted Average Price Transactions
SUGGESTED ROUTING
KEY TOPICS
Capital Markets
Executive Representatives
Legal & Compliance
Operations
Senior Management
Trading
Conflicts of Interest
Order Handling
Supervision
Executive Summary
NASD reminds members that when executing a volume-
The U.S. Social Security Administration offers a service that enables employers to verify the social security numbers (SSN) of employees. FINRA recommends that its member firms consider using the SSN verification service in connection with the pre-registration or employment process.
The verification process differs depending on the number of names or SSNs your firm wants to check:
Up to 5
The Report Center provides firms with secure access to data and reports designed to support their compliance activities.
On January 31, 2003, the Securities and Exchange Commission (SEC) approved NASD's proposal to increase dissemination of price information and transparency in the corporate debt markets through TRACE. The proposal, when implemented, will increase dissemination and transparency for over 4,000 TRACE-eligible corporate debt securities.
Implementation will occur in two parts, starting with the
FINRA released a new edition of the OATS Reporting Technical Specifications dated November 19, 2007. This edition consolidates the August 6, 2007 edition with its two addendums.
Proposed Rule Change to Delay the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
