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As previously announced in the March 21, 2007 OATS Reporting Technical Specifications, a new Routing Method Code of “I” (Intermarket Sweep Order) became available on June 11, 2007. As of February 4, 2008, the Routing Method Code of “I” will be required in the OATS Route and/or Combined Order/Route Reports for all OATS reportable orders routed to another market center that are identified to the receiving market center as an ISO.
For Your Information
National Association of Securities Dealers, Inc.
March 1989
Series 7 Test Changes For March; Permanent Site Change in Anchorage
Memphis Test Site for March
The March 18, 1989, Series 7 exam in Memphis will be held at:
Sheraton Hotel300 N. 2nd StreetMemphis, TN
Atlanta Test Site for March
The March 18, 1989, Series 7 exam in Atlanta will be held at:
Georgia
This is a reminder that beginning Monday, February 3, 2020, FINRA will no longer support the reporting of transactions to its TRACE and Over-The-Counter (ORF) products via the CTCI protocol.
Any client, including Service Bureaus, that currently utilizes CTCI and wishes to continue to deliver electronic transactions (i.e. not via TRAQS) must migrate to the FIX protocol by Monday, February 3,
FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to seek
The Anti-Money Laundering, Fraud and Sanctions section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
As of August 1, 2016 firms will no longer be able to download the SOD and EOD files via FTP. Rather, the Start of Day (SOD) and End of Day (EOD) reportable securities lists may be downloaded either by typing the URL(s) for the associated list in one of the supported browsers or via command line.
Year 2000 Countdown
As 1999 winds down, Year 2000 issues will receive increased focus as public attention to these issues increase and companies in virtually every industry accelerate efforts to meet Year 2000 compliance deadlines. During this critical period, the securities industry will heighten its focus on regulatory compliance, investor communication, Year 2000 testing, and contingency
SLATE is a service of FINRA that performs two major functions: on-line loan transaction reporting and transaction dissemination. Participants (or their designated third parties) are provided with the capability of submitting loan transaction information on CAT, TRACE or RTRS reportable securities.
INFORMATIONAL
Decimalization Testing
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
Recently the National Association of Securities Dealers, Inc. (NASD®) announced that selected NASD member firms must participate in decimalization testing.