In light of the recent outbreak of coronavirus disease (COVID-19), FINRA continues to review its pandemic and business continuity plans to ensure continuous operation of FINRA’s facilities for the reporting of OTC transactions in equity and fixed income securities (i.e., the Alternative Display Facility (ADF), the OTC Reporting Facility (ORF), the Trade Reporting and Compliance Engine (TRACE) and
The following is a list of trademarks of Financial Industry Regulatory Authority, Inc. (FINRA Marks). This list may be updated at any time without notice.ADF®BrokerCheck®Certified Regulatory and Compliance Professional (CRCP)®CRCP®CRD®Financial Industry Networking Directory™Financial Industry Regulatory Authority®Financial Learning Experience at FINRA™FIND®FINRA®FINRA ADDS®FINRA Automated Data
Research Analysts and Research Reports
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Senior Management
Advertising
Investment Banking
Research Reports
Executive Summary
On May 10, 2002, the SEC approved new NASD Rule 2711, Research Analysts and Research Reports. The rule is intended to improve the objectivity of research
FINRA departments also create specific subject-matter committees as needed to consult on various issues. Approximately 55 individuals participate on these committees that serve as important advisory bodies within FINRA’s regulatory framework.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of August 21, 1995, the following 59 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,863:
Symbol
Company
Entry Date
SOES Execution Level
CBXC
Cybex Computer Products Corporation
7/28/95
500
FLCN
Falcon Drilling
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The NASD will soon file its proposed revision of the NASD Manual with the Securities and Exchange Commission (SEC) for approval, which is expected later this year. Following SEC approval, the NASD will direct the Commerce Clearing House and vendors providing electronic versions of the NASD Manual
The Anti-Money Laundering (AML) section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
A hindrance to increasing the diversity in the securities industry may be the cumbersome processes regarding testing accommodations which disparately impact neurodiverse and disabled persons. Documentation requirements exceeding beyond what the ADA establishes as sufficient has a disparate impact on neurodiverse and disabled persons. Requiring unnecessary documentation is often costly, untimely
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
Foreign Deferrals of the Regulatory Element
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) is amending its policy of granting foreign deferrals of the Continuing Education Regulatory Element requirement
