Many firms will, from time to time, seek to expand or change their business. However, broker-dealer firms must file a Form BD amendment and/or a Continuing Membership Application (CMA) before making certain changes. Below are resources to help firms understand when and how to file an update.
When To File An Update
Learn what forms a firm must file
OATS Basics PresentationFor information, please refer to our Order Audit Trail System (OATS)
OATS Phase III Road Show Presentation - OATS Basics
(PDF 134 KB).NASD Notice to Members06-15 SEC Approves Expansion of NASD's Exemptive Authority under the OATS Rules; NASD Provides Additional Guidance Regarding Exemptive Relief and Encourages Exempted and Other Small
FINRA would like to remind member firms of their obligation to file the appropriate FOCUS reports, short interest reports, annual audits and customer complaints by their due dates. The following schedule outlines due dates for 2008. Questions regarding the information to be filed can be directed to the appropriate District Office.
eFocus Filing Transmission
The Neutral Corner to provide arbitrators and mediators with current updates on important rules and procedures within securities dispute resolution. FINRA believes this newsletter provides its dedicated neutrals with a valuable learning tool that enables them to better serve parties and other participants in the FINRA forum.
