No member or member organization shall:
(1) Reserved.
(2) Reserved.
(3) Reserved.
(4) Reserved.
(5) Circulation of rumors
Circulate in any manner rumors of a sensational character which might reasonably be expected to affect market conditions on the Exchange. Discussion of unsubstantiated information published by a widely circulated public media is not prohibited when its source and
In connection with the Mutual Fund Waiver Sweep and pursuant to FINRA Rule 8210, FINRA requests that the Firm provide the following documents and information to FINRA staff on or before June 10, 2016 regarding the above referenced Sweep.
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceMutual FundTraining
Executive Summary
The NASD reminds members of their obligations under the Rules of Fair Practice with respect to mutual fund sales practices. Members and their associated persons must ensure that their communications with customers (both oral and written) are accurate and complete regarding disclosure of
As part of the migration of TRACE corporate and agency debt trade reporting to the FINRA TRAQS platform on Monday, February 6, 2012, the Secure File Transfer Protocol (SFTP) Interface will no longer support current daily TRACE reference data files for the download of security and other TRACE-related information.
Pursuant to a Securities and Exchange Commission request, FINRA has agreed to make reported short sale trade data publicly available.
FINRA Requests Comment on a Proposed New Rule Requiring Carrying/Clearing Member Firms to Maintain and Keep Current Certain Records in a Central Location
Application of Customer Account Information and Suitability requirements to member selling one type of security to narrow target audience.
Any data that is communicated publicly should be communicated in the most efficient manner possible. In a industry where data is considered to be so valuable that firms were willing to spend millions of dollars to have their fiber optic cable runs as close as physically possible to the exchanges so they could get a timing advantage, the short interest report being collected only a twice a month
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FINRA observed some instances in which firms have had difficulty meeting various aspects of their obligations under Regulation SHO and relevant FINRA rules:
Supervision of Third-Party Order Management Systems
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
As detailed below, the District 2 seats on the West Region Committee are the only contested seats. Therefore, only firms that are members of FINRA in District 2 as of the close of business on Monday,
