FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the first quarter of 2023. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of June 23, 2023. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter June 22, 2023 as the
SUGGESTED ROUTINGSenior ManagementAdvertisingLegal & ComplianceMutual FundTraining Executive SummaryThis Notice sets forth the policy of NASD Regulation, Inc. (NASD RegulationSM) applicable to electronic delivery of information between members and their customers as required or permitted by National Association of Securities Dealers, Inc. (NASD®) Rules.1Questions concerning this
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Exemptive Letter to Venu Palaparthi, NPM Securities LLC
As previously communicated, FINRA will require Multi Factor Authentication (MFA) for access to all production API reference data files. FINRA will extend the test period for this project and has modified the implementation date to Monday, November 11, 2024. Beginning on November 11, 2024, FINRA will no longer support the use of digital certificates to access the Reference data
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA Requests Comment on Proposed Amendments to OTC Trade Reporting Requirements for Equity Securities
SEC Approves New Requirements for Alternative Trading Systems
To Whom It May Concern at FINRA,I’m writing as a long-time trader in the OTC markets to share my honest concerns about how Rule 15c2-11 has impacted retail investors like myself.This rule may have been created with good intentions — to protect investors and clean up bad actors — but the way it’s been enforced has done real damage to people who’ve spent years trading these markets responsibly.
The only thing many people know about money laundering is what they’ve learned from Hollywood. So if you want to really understand what money laundering is, and more specifically, the efforts brokerage firms must take to prevent and detect it, tune in. On this episode we talk to two of FINRA’s Anti-Money Laundering experts.
