INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
CE Inactive Individuals
E-Mail Notifications
Regulatory Element Requirement Windows
Executive Summary
NASD Regulation, Inc. announces a new feature in the Firm Notification section of Web CRDSM. Firms can now request
How do I entitle someone to access an eFOCUS report?
Where are eFOCUS filings located in the redesigned FINRA Gateway?
How do I transmit an eFOCUS filing to my clearing firm?
When are my eFOCUS filings due?
Where can I see previously filed eFOCUS reports?
How do I amend a submitted eFOCUS report?
How do I print an eFOCUS report?
We are a newly registered member firm and when I
We need the rules to actually be enforced and market makers not able to use dark pools for anything other than non-predatory market making functions. Transparency and accountability are really the primary thing. Selling order books that show liquidation prices of individual investors is insider trading. Check every single futures chart and you will find impulse retracing liquidating people at
SummaryFINRA, as a self-regulatory organization, is informed by and benefits from the expertise of industry and other stakeholders. As such, FINRA has multiple committees that facilitate effective engagement with member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection. The purpose
SUGGESTED ROUTING
Senior Management
Executive Representatives
Legal & Compliance
Registered Representatives
Systems
Trading
Executive Summary
On September 14, 1998, the Securities and Exchange Commission (SEC) approved rule amendments that are designed to integrate transaction information reported to the Automated Confirmation Transaction ServiceSM (ACTSM)
In observance of Presidents’ Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, February 21, 2022. Affected applications include:
Alternative Display Facility (ADF)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed interface specifications,
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the third quarter of 2022. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of December 16, 2022. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter December 15, 2022
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Mutual Fund
Operations
Syndicate
Systems
Trading
Training
Executive Summary
On May 11, 1995, the Securities and Exchange Commission (SEC or Commission) approved amendments to its rules that would implement two alternative methodologies proposed by the securities industry to expedite
Regulators to Discuss Protecting Seniors During World Elder Abuse Awareness Day
WASHINGTON—The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA) and FINRA will be co-hosting the Senior Safe Act Webinar: Identifying and Reporting Suspected Exploitation. The discussion will build on the SEC, NASAA and FINRA’s joint training released in 2021
*In response to requests for an extension, the comment period has been extended to February 21, 2023.
Summary
FINRA has begun developing a machine-readable rulebook to assist users to more readily analyze and search FINRA’s rules. As part of this initiative, FINRA is creating an embedded taxonomy (which is a method of classifying and categorizing a hierarchy of key terms and concepts) within
