Rule Effective April 21, 1999
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
This follow-up to the September 2021 targeted exam (sweep) of firms’ practices related to their acquisition of customers through social media channels and their sharing of customers’ usage information with affiliates and non-affiliated third parties summarizes selected practices FINRA has observed firms implement to this point in the sweep.
Proposed Rule Change to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)
FINRA is migrating the Alternative Display Facility (ADF) to a new technology platform, and has published new FIX protocol specifications for interfacing with the system.
Effective May 12, 2014, FINRA Rule 4552 requires each Alternative Trading System (ATS) that has filed a Form ATS with the SEC to report to FINRA its aggregate weekly volume information and number of trades, by security, per ATS in both equity securities and debt securities subject to FINRA trade reporting requirements.
November 2022
Background
In August 2021, FINRA launched a targeted exam (sweep) to review firms’ practices and controls related to the opening of options accounts and related areas, including account supervision, communications and diligence. FINRA’s review focuses on a cross-section of retail and diversified firms that offer options trading to their customers.
Below FINRA poses several
May 31, 2005
NASDAQ has recently enhanced the SuperMontage order modification process to allow for, among other things, the price of an order to be changed without having to cancel the original order and submit a new order.1 This enhanced order modification process impacts members' OATS obligations when reporting order modifications for orders that have been routed to SuperMontage. 
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of February 23, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
UH.GE
U.S. Home Corp New
7.750
01/15/05
DGAS.GC
Delta Natural Gas Inc
8.300
08/01/26
January 31, 2012
Dear Executive Representative/Chief Compliance Officer:
FINRA® is publishing its
2012 Regulatory and Examination Priorities Letter
to highlight new and continuing areas of significance to our regulatory programs, including topics of heightened importance to FINRA's Member Regulation, Market Regulation and Enforcement Departments, and the
I oppose restrictions to my right to invest.
I understand cryptocurrency funds are new and should be regulated for an even playing field to all investors. If interested, we can find that information of crypto investment on our own. We should not be tested for a specialized investment knowledge test. Almost all other investments are available to whomever wants to invest their money without a test
