Omer Meisel leads FINRA’s National Cause and Financial Crimes Detections Program (NCFC), which includes the National Cause Program (NCP) and Complex Investigations and Intelligence (CII). Mr. Meisel leads teams that conduct investigations and examinations of firms and gather intelligence to detect financial crimes and inform FINRA and firms of emerging threats and risks to the financial industry.
On October 2, 2023, FINRA will launch the new Fingerprint Program for Transfer Agents and Clearing Agencies (TA/CAs) as the SEC declared FINRA's updated Fingerprint Plan effective September 22, 2023. This Program outsources fingerprint processing to Sterling Identity (Sterling), the same FBI-approved channeler that processes fingerprints for broker-dealers on FINRA’s behalf.
Form CMA is organized by 14 standards for admission as set forth under Rule 1014(a) and specifies the documents and information required to support each standard. The items listed in this checklist are also organized by standard and focus on the standards and their related documentation and information that an applicant may inadvertently overlook when submitting the application. Firms should treat this checklist as a starting point for preparing Form CMA. Firms are advised to review the rules applicable to a CMA, including Rules 1014 and 1017, together with Form CMA. During the course of the review process, FINRA may request additional documents and information as necessary to render a decision on the application.
The following is a checklist to assist applicants as they prepare and submit information and documentation for FINRA Form New Member Application (NMA). To conduct securities transactions and businesses with the investing public in the US, a broker-dealer and its associated persons must be registered with FINRA. An important step in the registration process is to seek approval for FINRA membership, which is initiated through the submission of the New Member Application (or Form NMA), which is reviewed by FINRA’s Membership Application Program (MAP) Group.
TO: All NASD Members and Level 2 and Level 3 Subscribers
NASDAQ 1983 SHARE VOLUME REACHES 15.9 BILLION MARK; 88.7% INCREASE OVER RECORD 1982 8.4 BILLION
1983 NASDAQ volume reached 15.9 billion shares, an all-time record and an 88.7% increase over 1982 volume. The 15.9 billion shares represented 74% of the NYSE's 1983 volume and 750% of that of the AMEX.
On the last trading day of 1983,
Before you leave the military, take advantage of the many benefits the service provides, and make decisions about replacing those you may lose.
The OTC Reporting Facility (ORF) is the service provided by FINRA for the reporting of trades in OTC Equity Securities executed other than on or through an exchange and for trades in Restricted Equity Securities effected under Securities Act Rule 144A and dissemination of last sale reports.For those OTC Equity Securities and Restricted Equity Securities that are not eligible for clearance and
