This data provides comprehensive information on mortgage-backed securities (MBSs) that traded within the past 10 years. Access up to three years real-time trade history and seven years end-of-day trade history per security. Trade history represents mortgage securities with similar characteristics, i.e., reference data ID (RDID). An MBS provides issuers with monthly payments from a pool
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Executive Summary
On February 5, 1997, in Release No. 34-38245 (Release), the Securities and Exchange Commission(SEC) amended its broker/dealer record retention rule to allow broker/dealers to employ, under certain
Summary
The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA on proposed policies and
FINRA Announces Electronic Filing Process For Qualification Examination Waiver Requests and Series 16 Experience Acceptability Requests
Summary
FINRA requests comment on a proposed change to its current policy relating to the assignment of OTC symbols to unlisted equity securities. Specifically, FINRA is considering whether it should begin assigning OTC symbols to unlisted equity securities that do not have a valid CUSIP identifier, in the limited circumstance where a member firm demonstrates its best efforts to obtain a CUSIP
The payment of a salary to a sales assistant by a registered person is not prohibited by NASD rules, nor would it require the registered person to register as a general sales supervisor under Rule 1022(g).<br/>
FINRA Rule 4111(b) requires the Department of Member Supervision (Department) to calculate annually a member firm’s "Preliminary Identification Metrics" to determine whether the firm meets the "Preliminary Criteria for Identification."1 A key driver of that is whether a member firm’s Preliminary Identification Metrics meet quantitative, risk-based "Preliminary
SEC Approves Amendments to NASD Rule 2810 (Direct Participation Programs)
TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the third quarter of 1983. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.
Notice Number
Date
Topic
83-31
July 7, 1983
Adoption of Revised and
