Notice of FINRA District Committee Elections and Ballots
Continuing Education Planning
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Reporting Reversals of OTC Trades in Equity Securities
On behalf of the National Association of Securities Dealers ("NASD"), I want to thank the Committee for this opportunity to testify. My name is Daniel M. Sibears and I am a Senior Vice President and Deputy for Member Regulation at NASD in Washington, D.C.
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Regulatory Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (the Council), which has advisory and consultative responsibilities for the development
Continuing Education Planning
Upcoming Election to Fill FINRA District Committee Vacancies
The Market Order Timeliness Statistical Report is published monthly based upon firm-reported data detailing the number of customer market orders executed by your firm in NMS securities and classifying these orders based on time duration to execute. Supplementary Material .01 of FINRA Rule 5310 – Best Execution and Interpositioning - states that member firms must make every effort to execute
Frequently Asked Questions Regarding TRACE Reporting
