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TO: All NASD Members and Other Interested Persons
On January 20, 1986, the NASD issued Notice to Members 86-4, announcing the Securities and Exchange Commission's approval of new Article III, Section 41 of the NASD Rules of Fair Practice. The new rule requires all NASD members to maintain a record of their total "short" positions in NASDAQ securities in all customer and
INFORMATIONAL
Business Conduct and Responsibility Rules
Effective Date: October 15, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations, Trading and Training
Registered Representatives
Senior Management
Security Futures
Executive Summary
On October 15, 2002, the Securities and Exchange Commission (SEC) approved rule
IMPORTANT
TO: All NASD Members and Other Interested Persons
At its November meeting, the NASD's Board of Governors determined to take several actions in the area of short sale regulation in the over-the-counter securities market. This notice summarizes these actions.
Reporting of Open Short Interest Positions
The first such action will require members to report to the NASD, for purposes of
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FINRA may grant waivers, in exceptional cases, or exemptions for qualification exams, pursuant to FINRA Rule 1210.3, FINRA Rule 1220 and Rule 9600 Series, and accept other standards as evidence of an applicant’s qualification for registration, such as experience in the securities industry, educational achievement, or qualification by a specified foreign entity. FINRA may also consider an
Restitution Also Paid to 22 Customers Who Were Highly Concentrated and Highly Leveraged in Puerto Rican Securities
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc. $6.25 million and the firm will pay approximately $780,000 in restitution for inadequately supervising its customers’ use of
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced the results of voting that took place at its 2013 Annual Meeting today in Washington, DC. In accordance with FINRA By-Laws, firms elected two Governors, one from among the small firms and one from among the large firms.
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TRACE BTDS Specification
TRACE BTDS Specification - version 4.7Published February 18, 2022
TRACE BTDS Specification - version 4.8Effective May 15, 2023
Version 3.0 - 4.6
TRACE ATDS Specification
TRACE ATDS Specification - version 3.7Published February 18, 2022
TRACE ATDS Specification - version 3.8Effective May 15, 2023
<p>The FINRA Board of Governors will consider the following rulemaking items at its December 2015 meeting. After the meeting, FINRA will notify firms via email about the Board’s actions on these items and anticipated next steps, if any.</p>
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
WASHINGTON — FINRA announced today that a FINRA hearing panel permanently barred broker Bruce Martin Zipper of Miami, FL, for continuing to conduct firm business while serving a three-month suspension. The hearing panel also expelled his firm, Dakota Securities, from FINRA membership for not adequately supervising Zipper, allowing him to associate while suspended (and later while statutorily