Comment Period Expires November 7, 1994
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceSystemsTrading
Executive Summary
On September 19, 1994, the Board of Governors approved issuance of a Notice to Members soliciting comment on proposals to expand the scope of limit-order protection beyond that presently afforded by member firms to their customers in The Nasdaq
SFTP Fees for Trade Journal Files
Firms that choose to subscribe to the TRACE, ORF, ORF Clearing, and/or ADF Data Delivery SFTP services will be assessed monthly charges for each MPID or clearing number they enroll in each service. Charges will appear in each facility's bill (e.g., TRACE charges will be included in the firms' monthly TRACE bills, ORF charges will be included in the
SUGGESTED ROUTING:*
Corporate FinanceLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comment on amending the filing requirements of the Interpretation of the Board of Governors — Review of Corporate Financing to exempt offerings of Canadian issuers filed on proposed SEC Form F-9, and on Form F-
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010
Fingerprint Processing Fees
Notice of Special Meeting of Large Firms and Proxy
Effective Date: Jan. 1, 2024The Financial Industry Regulatory Authority, Inc. ("FINRA") develops and licenses financial services industry-related materials and courses (“CE Licensed Product(s)”) that are made available through FINRA’s online platform (“FinPro”). The use of the CE Licensed Product(s) is conditioned upon the acceptance by you (“End User”), without modification, of these
FINRA Announces Modifications Regarding Historic TRACE Data
Trading Pause Rule Expanded to All NMS Stocks
