Rule 4530(f) requires firms to promptly file with FINRA copies of specified criminal actions, Civil complaints and arbitration claims.
FINRA Rule 4530(a) requires firms to promptly report specified events to FINRA no later than 30 calendar days after the firm knows or should have known of their existence.
Nasdaq will be changing its FINRA/Nasdaq TRF trade modifier logic to systematically enforce FINRA trade reporting requirements for non-tape reports. Specifically, the only modifiers that are allowed on non-tape reports are 1) trade settlement type modifiers in Trade Modifier 1 and 2) modifiers used to designate that a trade is being reported for regulatory fee assessment purposes in Trade
FINRA is providing these Frequently Asked Questions about its 529 Plan Share Class Initiative (the “Initiative”) in response to a number of inquiries it has received from firms and trade associations. In order to allow firms sufficient time to consider the additional information provided here and to provide firms more time to review their supervisory systems and procedures with respect to 529
View an index of archived OATS Reports in the page.
Volatility—market swings—can sometimes bring an uncomfortable surprise to investors: a margin call. When you buy stock on margin, your brokerage firm lends you cash, using assets in your account as collateral, to purchase securities. To trade on margin, you must have a margin account with your brokerage firm.
Amendments to the SEC’s Financial Reporting Requirements—eFOCUS System Updates and Annual Audit Requirements
FINRA has extended the release of its new OTC Transparency Data Download and API. A new release date will be announced soon. This extension will allow the industry additional time to adopt these changes. In addition, FINRA will be migrating the OTC Transparency Data website to a new infrastructure to improve processing speed and resiliency.
The details of the changes to both the Data Download
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2019
