INFORMATIONAL
Locked/Crossed Markets
Effective Date: June 5, 2000
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Operations
Senior Management
Trading & Market Making
Locked/Crossed Markets
NASD Rule 4613
Executive Summary
On February 7, 2000, the Securities and Exchange Commission (SEC) approved changes to National Association of Securities Dealers,
As prepared for delivery
Electronic Trading in the Bond Markets
Good morning. Thank you [Mark Monahan] for that introduction. I’m pleased to have this opportunity to join today’s conversation on the increasing automation of fixed income markets.
Many of us have been in the securities business long enough to appreciate how the first electronic trading system—the NASDAQ quotation system that was
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued a voluntary Interim Form for Funding Portals designed for prospective crowdfunding portals under the JOBS Act. Those intending to become a funding portal may voluntarily submit information regarding their business on the interim form.
New study finds lack of financial literacy linked to high levels of stress and anxiety
WASHINGTON (April 28, 2021)—A substantial number of adults in the United States between the ages of 21 and 62 felt anxiety and stress about their personal finances well before the onset of the COVID-19 pandemic, according to a new report published today. Researchers found that financial stress and anxiety are
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).
REQUEST FOR COMMENT
Supervision Rules
Comment Period Expires: October 10, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Rule 3010
Supervisory Systems
Executive Summary
NASD requests comment on proposed amendments to Rule 3010 (Supervision) to require members to adopt heightened supervision plans for those
Washington, DC - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined First New York Securities L.L.C. $170,000 for improperly covering short positions with secondary offering shares and related oversight failures. The firm was also ordered to disgorge more than $171,000 in trading profits earned from the prohibited conduct.
Keeping crypto assets safe involves a different set of challenges than keeping your cash, stocks or bonds secure. It’s important to learn about the different ways to store crypto assets.
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to Article VIII, Section 5 of the NASD By-Laws that would expedite the
Washington - The Financial Industry Regulatory Authority (FINRA) announced today that it has hired Robert L. D. Colby as its Chief Legal Officer.
