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The NASD published the following Notices to Members during 1996. Duplicate copies are available at $25 per monthly or special issue. A 2-volume bound-set,
AI-based applications offer several potential benefits to both investors and firms, many of which are highlighted in Section II. Potential benefits for investors include enhanced access to customized products and services, lower costs, access to a broader range of products, better customer service, and improved compliance efforts leading to safer markets. Potential benefits for firms include
On November 15, 2021, FINRA’s Alternative Display Facility (ADF) will begin supporting timestamps up to nanosecond granularity (HH:MM:SS.sssssssss) in accordance with amendments to FINRA’s equity trade reporting rules. Please refer to FINRA Regulatory Notice 20-41 for additional information on firms’ reporting obligations under these amendments.
ADF currently supports timestamps up to
I am encouraged that you are considering changes on the subjects of Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting. These changes are will open the way to fair market operations. In the current environment the technology and information for market operations is far superior compared to what is available to regulators and ultimately the public.
Anyone who has looked at the derivates market for $AMC and $GME knows that short interest is being aritfically brought down by the use of these options strategies. If the short interest was really as low as being reported by FINRA and others, we would not have outrageous borrow rates and a continuing avalanche of FTD's. When will we have transparency in our financial markets? "Synthetic
In this third and final episode in our series covering FINRA's ongoing crypto asset regulatory work, we hear from FINRA's Blockchain Lab, which serves as a central point within FINRA for the development of blockchain-related regulatory initiatives to learn about how the Lab is supporting and advancing FINRA's regulatory work involving crypto assets.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT IS JULY 10, 1985
The National Association of Securities Dealers, Inc. is soliciting comments from members and other interested persons on a proposed amendment to Article III, Section 28 of the NASD's Rules of Fair Practice ("Section 28"), 1/ which would impose certain requirements on associated
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the first 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 July 1, 2022. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter June 30, 2022 as the “
In observation of the Thanksgiving holiday, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Thursday, November 23, 2023. Please be advised that the TRFs will close early on Friday, November 24, 2023. See the tables below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
Firms applying for FINRA membership, with the exception of sole proprietorships, must have at least two registered principals and one Financial and Operations Principal (FinOp), according to the FINRA Rule 1010 Series. Applicant firms, however, may request a waiver or exemption from the two principal requirement in accordance with FINRA Rule 9610 if the firm will be conducting a very limited
