The May 18, 2015 version of the OATS Reporting Technical Specifications includes changes to support the capture of more granular information about when an order is eligible to trade. Specifically, a new Trading Session Code has been added that will identify the specific market session(s) during which an order is eligible to trade. Firms will provide this new Trading Session Code in the existing
When it comes to the death of a brokerage account holder, many firms have trained staff and resources to help the living manage estate matters. Once a firm has been notified of the death of an account holder, here are some things you can expect.
On November 15, 2021, the FINRA equity trade reporting facilities (the Alternative Display Facility, the FINRA/Nasdaq Trade Reporting Facilities and the FINRA/NYSE Trade Reporting Facility, through which member firms report OTC transactions in NMS stocks to FINRA1) will begin supporting timestamps up to nanosecond (HH:MM:SS.sssssssss) granularity in accordance with amendments to FINRA’s equity
The purpose of this notice is to make sure you understand and agree to the Qualification Examinations Rules of Conduct for examinations administered in test centers or remotely. You are required to agree to all of the following Rules of Conduct before starting your examination.
Testing personnel are NOT authorized to grant exceptions to any of these rules.
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When it comes to calling the shots at a public company, CEOs run businesses on a day-to-day basis, but the board of directors shares in oversight of the company business. A public company’s board of directors is chosen by shareholders, and its primary job is to look out for shareholders’ interests.
The purpose of this form is to make sure that you understand and acknowledge the rules of conduct you must follow in completing this session. You must read and agree to this before you will be permitted to start your session.
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Shubham Agrawal, a Senior Security Engineer with FINRA, discovered that the Amazon EC2 Autoscaling service lacked PassRole validation check for one of its commands, CreateLaunchConfiguration. This can lead to “privilege escalation” in the AWS cloud, which is gaining elevated access or jumping from a lower privileged role to higher privileged one. This blog discusses the
There are three ways to register: online, fax, or mail.
Fingerprint results are posted to an individual’s CRD record typically within 24-36 business hours after FBI receipt.Entitled users can view the status of fingerprint submissions in FINRA Gateway and CRD by selecting the Show Statuses button and accepting the special Terms and Conditions to view the FBI results. Viewing Criminal History Record Information (CHRI) requires the additional “View CHRI
Powers of attorney can be a helpful way to prepare for the future, but many factors will determine the type of power of attorney you need and whether it will hold up when it needs to.
