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(a) Applicability of Rule
A claimant may request default proceedings against any respondent that falls within one of the following categories and fails to file an answer within the time provided by the Code:
(1) A member whose membership has been terminated, suspended, canceled, or revoked;
(2) A member that has been expelled or barred from
In observation of the Thanksgiving holiday, Market Transparency Systems will be closed on Thursday, November 25, 2021 and will close early on Friday, November 26, 2021. See below for more information on modified hours:
TRACE
See the table below for a schedule of modified hours (these hours also apply to BTDS/ATDS/SPDS/144A). Thank you for your attention to this matter. Please contact FINRA
This data provides comprehensive information for corporate and agency bonds that traded within the past 10 years. Corporate and agency bonds are investor loans to corporations or government-sponsored enterprises other than U.S. Treasury. Learn more about corporate and agency bonds and other bond types.Fixed income data is compiled from multiple sources, including but not limited to TRACE,
This data provides trade activity for corporate and agency bonds for up to 10 years. Access up to three years real-time trade history per individual security. Corporate and agency bonds are investor loans to corporations or government-sponsored enterprises other than U.S. Treasury. Learn more about corporate and agency bonds and other bond types.Fixed income data is compiled from multiple sources
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has censured Stephens Inc., of Little Rock, Arkansas, and fined the firm $900,000 for inadequately supervising firm-wide internal "flash" emails sent by its research analysts to convey information about companies and industries the firm covered. These failures created the risk that the flash emails
(a) Except as provided herein, a member that accepts and holds an order in an equity security from its own customer or a customer of another broker-dealer without immediately executing the order is prohibited from trading that security on the same side of the market for its own account at a price that would satisfy the customer order, unless it immediately thereafter executes the customer order
SEC Approves Consolidated FINRA Rule on the Sale of Securities in a Fixed Price Offering
New Equities Supervision Reports Are Designed to Help Firms Spot and Halt Potential Manipulation
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today made available to member firms its first monthly cross-market equities supervision report cards, aimed at helping firms identify and halt spoofing and layering activity.
"FINRA is marshaling its ability to look across
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
District Elections
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District Elections
Executive Summary
Through this Notice, NASD announces the election results for the District Committees and the District Nominating Committees. The newly elected District Committee members will serve until 2006.
District 10 (New York) had an additional