Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change relating to the dissemination of last sale information for transactions of fewer than 100 shares in OTC Equity Securities. Specifically
On September 3, 2016, firms migrated from the Pre-Pilot Data Security List to the Pilot Security List. During the month of September, for the purposes of data collection, all securities on the Pilot Security List (with the exception of any test securities that may be included) are in the Control Group. Securities will be moved into the Test Groups, as appropriate, once the
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Executive Summary
On May 18, 1993, the Securities and Exchange Commission (SEC) issued a no-action letter that permits broker/dealers to use optical storage technology(OST) to comply with the records retention requirements of SEC Rules 17a-3 and 17a-4. The letter, which was issued by the SEC
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
If you need to reschedule or cancel your qualification exam or Regulatory Element Continuing Education (CE) session appointment, you must do so a minimum of 10 business days in advance to avoid any fees. Appointments rescheduled or cancelled within 10 business days will incur a fee.
Executive Summary
The purpose of this Election Notice is to notify FINRA small firm members of the distribution of ballots to elect one North Region and one West Region representative to the Small Firm Advisory Committee (SFAC). FINRA small firm members1 in the North and West Regions as of the close of business on October 18, 2021, are eligible to vote in these elections.
Ballots are
Firms are able to file full or partial withdrawals of registration by submitting Form BDW, the Uniform Request for Broker-Dealer Withdrawal.Partial WithdrawalA partial withdrawal ends registration with one or more specified jurisdictions and/or self-regulatory organizations (SROs), but not with the U.S. Securities and Exchange Commission (SEC). Registration with at least one SRO and jurisdiction
(a) Mandatory Participation(1) Pursuant to SEA Rule 10c-1a, participation in SLATE is mandatory for purposes of reporting Covered Securities Loans. Such mandatory participation obligates a Covered Person to submit Covered Securities Loan information to SLATE in conformity with SEA Rule 10c-1a and the FINRA Rule 6500 Series.(2) Participation in SLATE shall be conditioned upon the SLATE Participant
Effective December 15, 2008, member firms that carry accounts and/or clear transactions or act as an intermediary to facilitate the clearance of accounts through another firm must report their clearing method and clearing arrangements through the FINRA Firm Gateway, a tool that provides firms consolidated access to FINRA applications.
