(a) Any Trade Reporting Facility Participant that is required to obtain, or otherwise wishes to use, more than one Market Participant Symbol ("MPID") for purposes of reporting trades to a Trade Reporting Facility must submit a written request, in the form required by FINRA, to, and obtain approval from, FINRA Market Operations for such additional MPID(s).
(b) A Trade Reporting
This rule is no longer applicable. Incorporated NYSE Rules have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
No member organization may, without the prior written approval of the Exchange, form or acquire a subsidiary company. The member organization shall require such subsidiary to comply with the following provisions.
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By offering new ways for financial institutions to engage and interact both internally and externally, the metaverse may provide new opportunities and present novel challenges. For example, market participants have noted that the metaverse may offer new methods to engage with and educate a broader group of investors, particularly younger investors who are beginning their investing journey. The
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Systems
Trading
Executive Summary
On May 19, 1995, the Securities and Exchange Commission (SEC) approved an expansion of the Interpretation to Article III, Section 1 of the NASD Rules of Fair Practice that prohibits a member firm from trading ahead of customers' limit orders in a firm's
SEC Approves Amendments to Transaction Reporting and Trading Activity Fee Rules Related to the Reporting of Asset-Backed Securities Transactions
FINRA Requests Comment on Concept Proposal to Require a Disclosure Statement for Retail Investors at or Before Commencing a Business Relationship
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & ComplianceMutual FundOperations
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed amendments to the NASD mutual fund maximum sales charge rule that would subject asset-based sales charges to the provisions of the rule.
The Outside Business Activities and Private Securities Transactions section of the 2021 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
SEC Approves Rule Establishing an Interim Pilot Program on Margin Requirements for Transactions in Credit Default Swaps
OATS Phase III Frequently Asked Questions
