(a) Failure to Participate Below
If an appealing Party did not participate in the disciplinary proceeding before a Hearing Officer, a Hearing Panel or, if applicable, an Extended Hearing Panel, and fails to show good cause for the failure to participate, the matter shall be considered by the Subcommittee or, if applicable, the Extended Proceeding Committee, and the National Adjudicatory
OverviewThe following tool identifies key cybersecurity risks currently facing small firms and helps them enhance their customer information protection, and cybersecurity written supervisory programs (WSPs) and related controls, including:Highlighting the most common and recent categories of cybersecurity threats facing small firms, including questions to assist firms with addressing such threats
The Office of the Ombuds functions independently from other FINRA departments and management. It reports directly to the Audit Committee of FINRA's Board of Governors. The Ombuds provides information to the Audit Committee and executive management — while preserving confidentiality and anonymity — on trends, issues and/or concerns.
INFORMATIONAL
New Registration Category-Rules And Examination
SUGGESTED ROUTING
KEY TOPICS
Continuing Education/Testing/Qualification
Legal & Compliance
Operations
Registration
Senior Management
Training
Limited Representative-Private Securities Offerings (Series 82)
NASD Rule 1032
Qualification Examinations
Application for Exemptive Relief from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System
ACTION REQUIRED
Broker/Dealer And Agent Renewals
Payment Deadline: December 8, 2000
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Maintenance Fees
Registration
Renewals
Web CRD
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) 2001
To Whom it May Concern,Thank you for the opportunity to comment on Regulatory Notice 24-13, “Effectiveness and Efficiency of [FINRA] Requirements Relating to Day Trading.” I am a strong believer in the benefits of engaging the community in this way, and sincerely appreciate the authority's time and attention. Over the past 20 years I have worked in the equity options
As a retail investor, I am concerned about the fairness of the current financial system. Having read many theoretical posts on r/Superstonk about the economy and doing my own research, I believe that more regulation on shorting is necessary in order to avoid the unfair devaluation of companies and protect smaller companies from its effects. In particular, more needs to be done about Fail-to-
ACTION REQUIRED
Renewal fees for the year 2000 for all participating regulators are due NO LATER than December 10, 1999.
Broker/Dealer And Agent Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Registration
Renewals
Web CRD
The Suggested Routing function is meant to aid
In observance of Memorial Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, May 31, 2021. Affected applications include:
Alternative Display Facility (ADF)
OTC Bulletin Board (OTCBB)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed
