GUIDANCEOrder-Routing and Execution SystemsSUGGESTED ROUTINGKEY TOPICSInstitutionalInternal AuditLegal & ComplianceOperationsSenior ManagementSyndicateSystemsTrading OperationsOrder-Routing and Execution SystemsRule 3010Rule 3310 and IM-3310SupervisionTrading and Market Making Systems Executive SummaryIn recent months, there have been several instances
Trading Pause Rule Expanded to All NMS Stocks
FINRA Adopts Amendments Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only
November 2012 Supplement to the Options Disclosure Document
SEC Approves Amendments to Require Firms to Report Transactions in TRACE-Eligible Securities As Soon As Practicable
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on the Annual Compliance Meeting
FINRA Delays the Effective Date for Increased Margin Requirements for Options on Leveraged ETFs and Day-Trading Requirements for Leveraged ETFs
INFORMATIONAL
Trade Date—Settlement Date
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Trade Date-Settlement Date Schedule
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context
Amendments to NASD IM-2210-4: Web Site References to FINRA Membership and Limitations on the Use of FINRA's Name and Other Corporate Names Owned by FINRA
