SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
The Department of the Treasury (Treasury) recently announced a delay in the effective date for certain amendments to the Bank Secrecy Act (BSA) that were scheduled for January 1, 1996. The amendments, which require broker/dealers to comply with additional recordkeeping
Dues Must Be Paid By December 15, 1995
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Registration
Executive Summary
The 1995–96 NASD® broker/dealer and agent registration renewal cycle begins in early November. This program simplifies the registration renewal process through the payment of one invoiced amount that includes fees for NASD personnel assessments, NASD
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
The Nasdaq Stock Market™ and the securities exchanges will be closed on Thursday, November 23, in observance of Thanksgiving Day. "Regular way" transactions made on the business days rioted below will be subject to the following schedule:
Trade Date
Settlement Date
Reg. T
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Operations
Options
Systems
Trading
Effective November 13, 1995, tier sizes for 900 Nasdaq National Market® securities will be revised in accordance with paragraph 245 Ia7 of the Rules of Practice and Procedure for the Small Order Execution System (SOESSM).
Under the SOES Rules, the maximum SOES order size for a Nasdaq
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of September 20, 1995, the following, 38 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,870:
Symbol
Company
Entry Date
SOES Execution Level
BCOM
Bank of Commerce
8/22/95
200
EUPH
Euphonix, Inc.
8/22/95
1000
HRBC
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of September 28, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
SINC.GB
Sinclair Broadcast
10.000
9/30/05
OWI.GA
Owens-Ill
10.000
8/1/
Comment Period Expires November 27, 1995
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The NASD® is requesting member comment on a proposed change to the NASD By-Law definition of Gross Revenue for NASD Assessment Purposes to require inclusion of net interest and dividend income (gross income less related interest and dividend expense but not in excess of
Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
Proposed Rule Change Relating to FINRA Rule 6750 (Dissemination of Transaction Information)
/**/
On January 16, FINRA convened its first ever RegTech Conference in New York City. Regulators, academics and innovators came together to discuss how technology is creating a new landscape for compliance efforts in financial services. New opportunities are quickly becoming available for industry participants and new challenges are arising for regulators. Issues like machine learning,
