The guidance provided in this FAQ pertains to the reporting of over-the-counter (OTC) transactions in equity securities to a FINRA Facility (a Trade Reporting Facility (TRF), the Alternative Display Facility (ADF) or the OTC Reporting Facility (ORF)).
SummaryThe national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 24, 2023 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options. FINRA reminds firms that, pursuant to FINRA Rule 2360(b)(23)(A)(viii), if a national options exchange or The Options Clearing Corporation announces a modified time for the close of trading
GUIDANCEFees for Filing Documents Pursuant to Rule 2710 (Corporate Financing RuleUnderwriting Terms and Arrangements)Implementation Date: January 1, 2005SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceRegistered RepresentativesSenior ManagementCorporate Financing DepartmentCorporate Financing FeesRule 2710 (Corporate FinancingRuleUnderwriting Terms and Arrangements)Schedule A to
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities).
Do not move forward for limiting investors ability to directly invest of pro shares. Ive been doing it for years and found it to be very straightforward and not as complexes if some would make it sound. Do not change the rules. We will work hard to overturn any rule that you might put in place that would limit our ability to directly invest in that would cost you a lot of time and money in the
A total of 741 member firms volunteered to participate in FINRA’s Remote Inspections Pilot Program, FINRA announced today in a blog post.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
INFORMATIONAL
Borrowing From and Lending to Customers
Effective date: November 10, 2003
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Borrowing From and Lending to Customers
Rule 2370
Executive Summary
On August 29, 2003, the Securities
