Executive SummaryThe purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.As detailed below, the following seats are contested:Midwest Region Committee, District 4 representativeMidwest Region Committee, District 8 representativeNew York Region Committee, District 10
The FINRA Board announced two newly appointed Industry Governors, received an update on FINRA’s Enforcement Digital Transformation and continued discussions around FINRA’s long-term financial planning.
The Audit & Risk Committee (Committee) is a standing committee of the FINRA Board of Governors (Board). This Charter and the FINRA Governance Guidelines govern the operations of this Committee.
INFORMATIONAL
Displaying Customer Limit Orders
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Systems
Trading & Market Making
Limit Orders
Order Handling Rules
SEC Rule 11Ac1-4 (Display Rule)
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context
INFORMATIONAL
Trading Obligations
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Trading & Market Making
Best Execution
Firm Quote Compliance
Locked/Crossed Markets
Executive Summary
As more derivative instruments overlay securities listed on The Nasdaq Stock Market ("Nasdaq") and more Nasdaq-listed securities are included
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
(a) Notices Under Rule 4111
(1) Notice of Requirements or Restrictions
FINRA's Department of Member Regulation ("Department") shall issue a notice of its determination under Rule 4111 that a firm is a Restricted Firm and the requirements, conditions or restrictions to which the Restricted Firm is subject (hereinafter, collectively referred to as the "Rule
SUGGESTED ROUTING
Senior Management
Continuing Education
Institutional
Operations
Registered Representatives
Systems
Trading
Training
To ensure that members fully comply with Securities and Exchange Commission (SEC) Rule 11Ac1-1 (Rule 11Ac1-1 or the firm quote rule), NASD Regulation, Inc.,
I strongly oppose any further regulations by FINRA of leveraged or "complex" securities, especially any potential minimum liquid net worth requirements. Such regulation would be devastating for me personally and would represent a grave injustice perpetrated against many people.
There's a proper role in society for a truly private, voluntary organization that helps
FINRA Rule 4530 requires firms to report specified events; quarterly statistical and summary information regarding written customer complaints; and copies of specified criminal and civil actions. FINRA Rule 4530 was modeled after former [NASD Rule 3070] and former [NYSE Rule 351]. Any matter that becomes subject to reporting or filing on or after July 1, 2011, must be reported
