The report is intended to raise awareness among FINRA member firms and the broader securities industry by providing an overview of how developments related to the metaverse may impact business models and processes. While the true implications of the metaverse may not be known for years, the report analyzes potential applications, use cases and challenges for member firms and notes certain regulatory considerations.
INFORMATIONAL
OATS
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KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Order Audit Trail System
Executive Summary
NASD Regulation, Inc. (NASDR) is issuing this Notice to
Held between November 2021 and August 2024, the Disclosure Reporting Webinar Series provided basic information about different types of reportable events. These sessions were designed for compliance professionals at FINRA-member broker-dealers who submit filings and documents to FINRA regarding disclosure events that are reportable for registered representatives and firms.The content of the
Offers from people or organizations who claim they can help you recover money lost from previous fraud can be tempting. But these offers, which want you to pay money up front for the recovery “services,” are almost always fraudulent themselves. Learn to spot fraudulent recovery scams and avoid further losses.
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Broker/Dealer And Agent Renewals
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Executive Representatives
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Operations
Registered Representatives
Registration
Senior Management
Registration
Renewals
Web CRD
Executive Summary
The 2001 Renewal Program for the National Association of Securities Dealers, Inc. (NASD®) broker/dealer and agent
INFORMATIONAL
Continuing Education
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Continuing Education
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Continuing Education Regulatory Element Notifications And Reports
Inactive
Correction: On page 556, this Notice originally stated incorrectly that Nasdaq's regular trading hours are 9:30 a.m. to 6:30 p.m. ET. In fact, Nasdaq's regular trading hours are 9:30 a.m. to 4:00 p.m. ET and the Nasdaq extended hours session is 4:00 p.m. to 6:30 p.m. ET. The online and print versions of this Notice have been corrected.
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Limit Orders — Manning
FINRA
FINRA publishes a weekly newsletter (the weekly update) containing its rule proposals and notices of rule approvals with effective dates. FINRA provides an email subscription service for the newsletter as well as other communications. FINRA also maintains a catalog of social media and RSS feeds.
FINRA CAT LLC
FINRA CAT LLC provides an RSS feed of its website updates
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the third quarter of 2024. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of December 13, 2024. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter December
I oppose having these types of funds being removed/further regulated. Each investor should be able to make their own informed decisions.
