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Table of Contents
Figure 1.2 FINRA-Registered Representatives by Firm Size
Table 1.2 FINRA-Registered Representatives by Firm Size, 2015–2019
Figure 1.3 Average and Median Number of FINRA-Registered Representatives per Firm
Table 1.3 Average and Median Number of FINRA-Registered Representatives per Firm, 2015–2019
Figure 1.4 Securities Industry Registered Individuals by Type of
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Veteran's Day, Tuesday, November 11, and Thanksgiving Day, Thursday, November 27. On Tuesday, November 11, the NASDAQ System and the exchange markets will be open for trading. However, it will not
SUGGESTED ROUTING
Senior Management
Advertising
Internal Audit
Legal & Compliance
Training
Executive Summary
The Financial Services Authority (FSA) in the United Kingdom (U.K.) has detected an increase in the frequency with which National Association of Securities Dealers, Inc. (NASD®) member firms have been soliciting U.K. citizens. In response to this activity, the FSA has asked
SUGGESTED ROUTING
Senior Management
Corporate Finance
Internal Audit
Legal & Compliance
Syndicate
Trading
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) is issuing this Notice to Members to remind members that compensation received by members in public offerings of securities is to be determined through negotiation with
Report Combines and Replaces Annual Exam and Risk Monitoring Findings Report, Priorities Letter
Washington, D.C. – FINRA today published the 2021 Report on FINRA’s Examination and Risk Monitoring Program to inform member firms’ compliance programs by providing annual insights from FINRA’s Examinations and Risk Monitoring programs. The Report combines and replaces two previously published annual
INFORMATIONAL
Books And Records Rules
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Books and Records
Exchange Act Rule 17a-3
Exchange Act Rule 17a-4
Executive
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
Transactions made on Monday, October 14, Columbus Day; Tuesday, November 5, Election Day; and Monday, November 11, Veterans Day, and the days immediately preceding these days, will be subject to the schedule below. The purpose of this schedule is to provide uniformity since, while the NASDAQ System and
Rulemaking topics discussed include: FOCUS report supplementary schedule,
markups, commissions and fees,
OATS reporting of certain market-making and customer facilitation orders,
OCC cleared OTC options and related amendments,
"public" arbitrator definition,
pricing proposals, and
stop orders.
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Lincoln's Birthday, Tuesday, February 12 and Washington's Birthday, Monday, February 18. On Tuesday, February 12, the NASDAQ System and the exchange markets will be open for trading. However,
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Transactions made on Monday, October 8, Columbus Day; Tuesday, November 6, Election Day; and Monday, November 12, Veterans Day, and the days immediately preceding these days, will be subject to the schedule below. The purpose of this schedule is to provide uniformity since, while the NASDAQ System and other