ACTION REQUIRED
Volume-Weighted Average Price Transactions
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Capital Markets
Executive Representatives
Legal & Compliance
Operations
Senior Management
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Executive Summary
NASD reminds members that when executing a volume-
GUIDANCE
Denial of Access Complaints
Compliance Date: May 26, 2005
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Executive Representatives
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Access to Quotations
Alternative Display Facility
Market Regulation
Executive Summary
On March 10, 2005, the Securities and Exchange Commission (SEC)
Beginning September 30, 2009, FINRA will publish on its Web site a Monthly Short Sale Transaction File to provide public access to certain transaction data, including transaction times, price, and number of shares for every short sale transaction in an NMS stock. FINRA also will begin publishing a Daily Short Sale Volume File in the fourth quarter of 2009, which will provide aggregate daily short
FINRA Fund Analyzer Overview | What's New | Types of Calculations Available in the Fund Analyzer | Using Search | Understanding the Analyzer's Results | Share the Results of Your Analysis | Printing or Saving Your Analysis | Help | Feedback | Using the Advanced OptionsHow to Configure the Fund Analyzer for Transaction ("Clean") Share Calculations Types of Calculations
SEC Approves Changes to Arbitration Rules on Definition of Associated Person, Distribution of the FINRA Discovery Guide and Applicability of Hearing Session Fees
ACTION REQUIRED
PORTAL-Designated Equity Securities Directory
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PORTAL
Executive Summary
Nasdaq® is publishing a list of PORTAL®-designated equity securities for the reporting requirements of PORTAL equity transactions that will be effective on June 16, 2001.
On March
Special Election to Fill a Small Firm Vacancy on the National Adjudicatory Council
FINRA Recommends Review of Municipal Securities Activities
FINRA Provides Guidance on its Enforcement Process
Managing retirement income starts with knowing what your sources of income will be—from Social Security to an employer-sponsored retirement savings account like a 401(k)—and the rules that govern each income source.
