Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Consolidated Audit Trail (CAT)
Best Execution
Disclosure of Routing Information
Fixed Income – Fair Pricing NEW FOR 2023
Fractional Shares: Reporting and Order Handling NEW FOR 2023
Regulation SHO – Bona Fide Market Making Exemptions and Reuse of Locates for Intraday Buy-to-Cover Trades NEW FOR 2023
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Consolidated Audit Trail (CAT
Consolidated Audit Trail (CAT)Best ExecutionDisclosure of Routing InformationRegulation SHO – Bona Fide Market Making ExemptionsFixed Income – Fair PricingOTC Quotations in Fixed Income Securities NEW FOR 2024Advertised Volume NEW FOR 2024Market Access Rule NEW FOR 2024Previous:Variable AnnuitiesUp:Market IntegrityNext:Consolidated Audit Trail (CAT)
For members that intend to use the ADF for trade reporting only, the charge for connecting to the ADF via a Financial Information eXchange (FIX) line shall be $500 per month.
Amended by SR-FINRA-2016-031 eff. Sep. 12, 2016.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2002-97 eff. July 29, 2002.Selected Notices: 08-57, 16-33.
ACTION REQUIRED
Broker/Dealer and Investment Adviser Renewals
Payment Deadline: December 5, 2003
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representative
Registration
Senior Management
IARDSM
Maintenance Fees
Registration
Renewals
Web CRD®
Neutral Corner - February 2007
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Registration
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article III,
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
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Municipal
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Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
On September 9, 1998,
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the first quarter of 2023. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of June 23, 2023. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter June 22, 2023 as the
