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ORF Migration: Major Functional and Administrative Areas for the Migration
The FINRA ORF technical platform migration will begin on Monday, November 17, 2014. The major functional and administrative areas for the migration are listed below.
Notice To Members 89-16
SUGGESTED ROUTING* Senior Management Corporate Finance Legal & Compliance *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY NASD members are advised that on January 13, 1989, the Securities and Exchange Commission (SEC) approved an
Notice To Members 89-17
SUGGESTED ROUTING* Senior ManagementLegal & ComplianceOperationsSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY As previously reported in Notice To Members 88-104, the NASD, beginning February 12, 1989, will require its members to respond to requests for trading data using an automated format. The format is consistent
Notice To Members 89-18
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. Securities markets and the NASDAQ System will be closed on Monday, February 20, 1989, in observance of Presidents' Day. "Regular way" transactions made on the preceding business days will be
Notice To Members 89-19
SUGGESTED ROUTING* Internal Audit Operations Systems Trading *These are suggested departments only. Others may be appropriate for your firm. As of January 12, 1989, the following 26 issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,881
Regulatory Notice 14-47
FINRA Requests Comment on a Proposal to Tighten Business Clock Synchronization Requirements
Notice To Members 89-20
SUGGESTED ROUTING* Senior Management Legal & Compliance Trading Training *These are suggested departments only. Others may be appropriate for your firm. IMPORTANT MAIL VOTE EXECUTIVE SUMMARY NASD members are invited to vote on extensive amendments to Article III, Sections 1
Notice To Members 89-21
SUGGESTED ROUTING* Senior Management Legal & Compliance Trading Training *These are suggested departments only. Others may be appropriate for your firm. IMPORTANT MAIL VOTE EXECUTIVE SUMMARY Members are invited to vote on a proposed amendment to Article III, Section 21 of
Regulatory Notice 14-46
FINRA Requests Comment on a Proposal to Identify OTC Equity Trades Reported More Than Two Seconds After Execution as “Out of Sequence” and Not Last Sale Eligible
Notice To Members 89-22
SUGGESTED ROUTING* Senior Management Legal & Compliance Syndicate *These are suggested departments only. Others may be appropriate for your firm. IMPORTANT MAIL VOTE EXECUTIVE SUMMARY The NASD invites members to vote on a proposed amendment to Article III, Section 35 of the NASD