These products are useful to a informed trader. Removing these would be like dictating what people can invest in. What's next, all stocks under 5 dollars or 1 dollar. It is our right to make these choices. Don't take my rights away.
Frequently asked questions about public offerings
The Neutral Corner—Volume 1, 2020
Mission Statement
Office of Dispute Resolution and FINRA News
COVID-19 Notice to Parties and Arbitrators
Case Filings and Trends
2019 Arbitrator and Mediator Diversity Statistics
Removal of the Award Information Sheet from FINRA's Website
Register for the Portal
Portal How-to Videos
Rule Approval
Amendments to FINRA Rule 12000 Series to Expand
Supplementary Material .15 is effective from Apr 24, 2014 through Dec. 1 2015.
(a) Supervisory System
Each member shall establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA rules. Final responsibility for proper supervision shall rest with
I 100% support broader and more detailed reporting on short sales. This information would lead to a fairer market through transparency and allow all parties to better understand the marketplace.
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On May 1, 1990, the SEC approved an amendment to Schedule H of the NASD By-Laws to require member firms to file specified information with the NASD before initiating (or resuming) a quotation of a non-NASDAQ over-the-
Q1. My firm has been granted an exemption from both the recording and reporting requirements of the OATS Rules and does not currently have an obligation to report to OATS. Does my firm’s OATS exemption extend to the Consolidated Audit Trail (“CAT”) recording and reporting requirements?
A1. No. Neither SEC Rule 613 nor the CAT NMS Plan provide exemptive relief to any class of broker-dealers. As
In observance of Labor Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, September 2, 2024. Affected applications include:Alternative Display Facility (ADF)Over-the-Counter Reporting Facility (ORF)Trade Reporting and Compliance Engine (TRACE)FINRA/Exchange Trade Reporting Facilities (TRFs)As stated in the data feed interface specifications, FINRA may send out
I personally would like to have more knowledge and more accessible information. The more one can comprehend the better the outcomes of their choices. I am neither for or against the proposal. I do believe customers need to read and agree to understanding the risks involved.
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Continuing Education
Executive Summary
In the fourth quarter of every year, the Securities Industry/Regulatory Council on Continuing Education (Council) publishes the annual Firm Element Advisory (FEA). The Council is now updating the FEA in
