Application of the OATS Rules to: partial executions, bunched orders, pegged orders, and negotiated orders.<br/>
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal & ComplianceOperationsSenior Management
Clearing FirmsIntroducing FirmsNASD Rule 2342Securities Investor Protection Act of 1970 (SIPA)Securities Investor Protection Corporation (SIPC)SIPC BrochureSIPC Web Site
SIPC Information
Executive Summary
On May 10, 2007, the Securities and Exchange Commission (SEC) approved NASD Rule 2342
FINRA Announces Two New Trade Reporting Modifiers Related to Regulation NMS
Summary
FINRA requests comment on the practice of internalizing customer trades in the corporate bond market after obtaining auction responses, commonly known as “pennying.” In particular, pennying involves a dealer, after receiving a customer order, initiating a bid or offer wanted auction process on behalf of a customer, reviewing the auction responses, and then executing the customer order
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009
SEC Approves Consolidated FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities)
Thank you very much, Mr. Secretary. It's an honor to be here today with you and Secretary Duncan.
SEC Approves Amendments to NASD Rule 11870 and NYSE Rule 412 to Conform with NSCC's ACATS Transfer Cycle Time Frames
SUGGESTED ROUTING:*
Senior ManagementLegal & Compliance*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 Article HI, Sections 5 and 6 and Article IV, Sections 3 and 4 of the NASD By-Laws relating to retaining jurisdiction over member firms that resign their
