FINRA would like to remind member firms of their obligation to file their appropriate short interest reports by their due dates.
The discovery process allows the parties to obtain facts and information from other parties to the arbitration in order to support their own case and prepare for the hearing.
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Customer confirmations help protect investors by allowing them to verify the terms of their transactions, alerting them to potential conflicts of interest, safeguarding against fraud and providing them with
FINRA Rule 4311(h)(2) replaced NASD Rule 3230(c)(3) in August, 2011. Rule 4311(h)(2) requires that each year, by no later than July 1, each clearing/carrying member firm notify in writing the introducing/correspondent member firm's chief executive and compliance officers of the reports offered to the introducing member firm pursuant to 4311(h)(1) and the reports requested by or supplied to the introducing member firm as of such date.
NASD directed all firms that processed more than a minimal amount of mutual fund transactions using an automated process to conduct a self-assessment of their mutual fund transactions in 2001 and 2002 and the sales discounts provided, and to submit the results to NASD. As of July 30, 2003, the 642 firms listed below submitted assessment results to NASD.
On July 14, 2008, FINRA announced in an updated version of the OATS Reporting Technical Specifications that a "Negotiated Trade Flag" was being added to both the New Order and Combined Order/Execution Reports to identify instances where a trade is completed as the result of a negotiation.
Retransmission Data Feed Policy
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Section 7 of Schedule A to the NASD By-Laws to adjust fees for filing documents pursuant to Rule 2710 (Corporate Financing Rule - Underwriting Terms and Arrangements).
These report cards assist NYSE-reporting firms in monitoring compliance with NYSE Rule 123(e) and (f), which requires NYSE-reporting firms—immediately after receiving an order on the floor—to submit the order information to the FESC database before the orders are represented on the floor.
