November 2, 1999Below is a summary of common data elements that are not being reported correctly to OATS. Failure to report timely, complete, and accurate information to OATS may constitute a violation of NASD Rules 6955 and 2110. Please review the items below, and if you have questions contact Business and Technology Support Services at (800) 321-NASD or via e-mail.
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As Senior Vice President – Strategic Regulatory Engagement, Alex Ellenberg is responsible for providing guidance, counsel and analysis to the leadership team and various Market Regulation and Transparency Services (MRTS) groups regarding a wide variety of strategic, operational, regulatory, risk and compliance functions and activities. He also supports and provides strategic risk analysis to the
FINRA emphasizes the obligations of members to report securities transactions within the required time period. All reportable transactions not reported within the required time period shall be marked late, and FINRA routinely monitors members' compliance with the reporting requirements. If FINRA finds a pattern or practice of unexcused late reporting, that is, repeated reports of executions
Simplifying digital interactions with FINRA to reduce compliance costs and enable more effective compliance programs.
(a) Notice of Suspension, Cancellation or Bar(1) If a member, person associated with a member or person subject to FINRA's jurisdiction fails to comply with a temporary or permanent cease and desist order issued under the Rule 9200, 9300 or 9800 Series, FINRA staff, after receiving written authorization from FINRA's Chief Executive Officer or such other senior officer as the Chief
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Executive Summary
NASD Regulation, Inc. (
This article highlights some of the common cybersecurity threats faced by broker-dealers. In a number of cases, FINRA has observed that different types of attacks were coordinated and overlapped.
Phishing – Social engineering or “phishing” attacks remain one of the most common cybersecurity threats firms have discussed with FINRA. Many firms experienced situations where employees provided
GUIDANCEOnline Arbitration Claim Filing SystemEffective Date: August 5, 2004SUGGESTED ROUTINGKEY TOPICSLegal and ComplianceArbitrationArbitratorsDispute ResolutionExecutive SummaryThe Securities and Exchange Commission (SEC) has approved amendments to Rule 10314 of the NASD Code of Arbitration Procedure (Code) to allow parties to complete part of the arbitration claim filing process
Hello, I strongly oppose restrictions to my right to invest! I should not have to pass a regulator-imposed test of my investment knowledge, attest to reading special materials or get a special approval from my broker for investments that are right for me and my family. Regards, Saeed Taheri [REDACTED]
I oppose restrictions to my right to invest. I shouldn't have to pass a test or otherwise prove my knowledge base before I can invest my money as I see fit. I have a Master's degree from Boston College; I am perfectly capable of understanding leveraged and inverse funds.
