I believe absolutely that 1- Finra should publish on the FINRA website short interest data for all equity securities (listed and unlisted). 2-potential short interest enhancements discussed above would , YES, be equally beneficial for both OTC equity securities and exchange-listed equity securities. In all I have discovered from public information made readily available on the sub Reddit /
Beginning Monday, October 30, 2023, FINRA will limit the number of unsuccessful TRAQS login attempts from 10 to five before the user is locked out of their account. This affects both the Nasdaq Test Facility (NTF) and production FINRA TRAQS websites.
FINRA has also made minor cosmetic changes to the MFA process; beginning October 30, 2023, it will:
Remember the user's last-used security
In observance of Christmas and New Year’s Day, FINRA’s Market Transparency Reporting Systems will follow the schedule below:Monday, December 25, 2023 ClosedMonday, January 1, 2024  
Report Brings Attention to Opportunities and Risks Presented by the Technology
WASHINGTON— FINRA released today a new report, Quantum Computing and the Implications for the Securities Industry. While practical quantum computing remains nascent, the research examines how the emerging technology that relies on quantum mechanics to perform complex calculations could significantly alter the
ACTION REQUESTED
Interfering With Customer Account Transfers - Proposed Interpretive Material
Comment Period Expires: July 6, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Training
Account Transfers
Employment Disputes
Injunctions
Executive Summary
NASD Regulation, Inc. (NASD
The Consolidated Audit Trail (CAT) section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
The Fixed Income Mark-up Disclosure section of the 2019 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.
The Neutral Corner—Volume 1, 2021
Mission Statement
Understanding the Assertion of Legal Privileges in Arbitration Proceedings
(by Steven B. Caruso and Kenneth Crowley)
Bits, Bytes and E-Discovery Fights (by Lisa Miller, FINRA Arbitrator)
FINRA Dispute Resolution Services and FINRA News
COVID-19 Vaccine information for Hearing Purposes
COVID-19 Hearing Postponements and Virtual Hearings
GUIDANCE
Short Interest Reporting
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Technology
Training
NASD Rule 3360
Short Interest Reporting
Short Sales
Executive Summary
NASD is issuing this Notice to inform members of changes to the
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Registration
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed amendments to Article IV,
