FINRA collaborates with international regulators to support and improve oversight of firms with global operations. Specifically, FINRA International works to:
FINRA Rule 1017 requires member firms file a Continuing Membership Application (CMA) with FINRA's Membership Application Program (MAP) Group prior to implementing any material changes to the firm.
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt the NASD Rule 0100 Series as FINRA rules in the consolidated FINRA rulebook.
FINRA released a new edition of the OATS Reporting Technical Specifications dated November 19, 2007. This edition consolidates the August 6, 2007 edition with its two addendums.
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to make permanent the portfolio margin pilot program set forth in NASD Rule 2520(g) and Incorporated NYSE Rule 431(g).
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 2210 (Communications with the Public) and 2211 (Institutional Sales Material and Correspondence) and Incorporated NYSE Rule 472 (Communications with the Public) to define market letters as correspondence rather than as sales literature.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 2860 to expand the class of entities permitted to use the delta hedging exemption from equity options position limits.
The New Account Application Template is a voluntary model brokerage account form that is provided as a resource to firms when they design or update their new account forms.
As of August 1, 2016 firms will no longer be able to download the SOD and EOD files via FTP. Rather, the Start of Day (SOD) and End of Day (EOD) reportable securities lists may be downloaded either by typing the URL(s) for the associated list in one of the supported browsers or via command line.
