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GUIDANCE
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education
(Council) has issued the annual Firm Element Advisory, a guide for
firms to use when developing their continuing education Firm
COMMENTS ON 22-08 You have made this request for comments so complicated that it is hard to follow. I will just list my ideas and you can try to sort them out. On my trip from model airplanes to airline captain I have made many replies that affected new FARs. This a free country and everyone should be able to risk some $ and try to make more $. This should include hedge funds, but limited to a
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Since December 1, 1990, Nasdaq market makers that are also market makers in the Small Order Execution System (SOES) have been required to display sizes in their quotations equal to or greater than the SOES tier size of
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to Article VI, Sections 3 and 4 of the By-Laws to provide for the suspension or cancelation of the registration of an associated person in the event of
On-Demand Recording: Phone-In Workshop | Original Program Date: June 8, 2017
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of March 13, 1991, the following 13 issues joined Nasdaq/NMS, bringing the total number of issues to 2,545:
Symbol
Company
Entry Date
SOES Execution Level
CTRX
Celtrix Laboratories, Inc.
2/11/91
1000
DISK
Image Entertainment, Inc.
2/19/91
1000
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Effective July 27, 1990, the NASD implemented a new rule for NASDAQ's Small Order Execution System (SOES) that
IMPORTANT
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
COMMENTS MUST BE RECEIVED BY OCTOBER 1, 1984
The National Association of Securities Dealers, Inc. (the "Association" or "NASD") is publishing for comment a proposed new Section 65 to the Association's Uniform Practice Code which would establish procedures for customer account
Summary
FINRA requests comment on a proposal to expand the alternative trading system (ATS) volume data that it publishes on its website to include information on transactions in corporate bonds and agency debt securities that occur within an ATS and are reported to FINRA’s Trade Reporting and Compliance Engine (TRACE).
Questions concerning this Notice should be directed to:
Chris Stone, Vice
Notice of Annual Meeting of FINRA Firms and Proxy