SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
The National Association of Securities Dealers, Inc. (NASD®) will observe the following holiday schedule for 1998:
January 1
New Year's Day
January 19
Martin Luther King Jr.'s Birthday (Observed)
February 16
Presidents' Day
FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and Securities and Exchange Commission (SEC) decisions in FINRA cases).
OATS is in the process of upgrading the IFT/FTP servers. Below is important information for IFT and FTP users regarding the changes:
April 15, 2002The time period to correct a New Order Report or a subsequent order event depends on how long it has been since the New Order Report was accepted by OATS. The system maintains two files for validating data it has accepted: the Day Order File and the GTC File. The Day Order File contains all DAY, GTT, and Market orders for a rolling five business days. The GTC File contains GTC, GTM
The Web CRD system facilitates the collection and disbursement of fees associated with filings processed through the system. The links available on this Web Page provide important information on registration-related fees and payments, as well as guidance with the CRD Accounting functionality.
November 2, 1999The data in all ROEs in a single FORE must belong to the firm identified by the Order Receiving Firm MP ID in the FORE header. In the majority of cases, the Order Receiving Firm MP ID in the FORE header and in each ROE will be identical. However, when an Order Receiving Firm has multiple MP IDs or has changed its MP ID recently, it is acceptable for the MP ID in the FORE header to
Step-by-step instructions on accessing and updating FCS information and access to frequently asked questions.
On March 18, 2013, FINRA will be upgrading Secure Transport in the Production (PD) environment from the current version of 4.9 to version 5.1. These changes will be available in the Certificate Test (CT) environment on February 19, 2013.
