FINRA is committed to providing firms with prompt and accurate answers to their regulatory questions. As part of that commitment, FINRA has assigned a dedicated Risk Monitoring Team to every firm which includes a Risk Monitoring Senior Director, Risk Monitoring Director, and Risk Monitoring Analyst.
Online Arbitration Claim Filing Pilot Program
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 3012 (Supervisory Control System), Rule 3013 (Annual Certification of Compliance and Supervisory Processes), and IM-3013 (Annual Compliance and Supervision Certification) to allow members, by no later than April 1, 2006, to submit the initial annual
Proposed Amendments to Require Price Improvement to Limit Orders in Certain Circumstances
Throughout your securities industry career, FINRA, other regulatory organizations and your employer collect and maintain a variety of information. Learn about all phases of your career in the securities industry, from considering becoming registered to taking exams to obligations when you leave the industry.
NASD has filed with the Securities and Exchange Commission (“SEC” or “Commission”) Notice to Members (“NtM”) 05-11, providing further guidance regarding members’ obligations under Section 3 of Schedule A to the NASD By-Laws (Regulatory Transaction Fees) and a self-reporting form that is used by members to report trade data that is not captured by NASD’s trade reporting system.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD rules, including the rules governing the Alternative Display Facility ("ADF"), to align them with Regulation NMS. In addition, NASD is amending rules that govern quoting, trade reporting and clearing through the ADF to extend this functionality to
