SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
Executive Summary
On April 11, 1994, The Nasdaq Stock Market, Inc., began operation of the Fixed Income Pricing SystemSM (FIPS®) for members trading highyield bonds. FIPS was created to facilitate the over-the-counter (OTC) trading of high
Continuing Education Planning
FINRA Reminds Firms of Their Trade Reporting Obligations and Announces New Submission Process for Form T
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
FINRA Addresses Frequently Asked Questions About TRACE Reporting Issues
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
January 2011 Supplement to the Options Disclosure Document
2012 Annual Audit and FOCUS Report Filing Deadlines
Weighted-Average Price/Special Pricing Formula Trade Modifier
