The Cyber and Analytics Unit (CAU) within FINRA’s National Cause and Financial Crimes Detection (NCFC) program would like to bring an important cyber-related development to your attention. The Cybersecurity & Infrastructure Security Agency (CISA) and the FBI issued a “Shields Up” warning this week regarding potential Russian cyberattacks to target U.S. organizations related to
The Municipal Continuing Disclosure Report displays statistics about transactions that your firm effected with customers. The report provides relevant information about the availability of official statements, annual financial filings, and event filings on the MSRB's Electronic Municipal Market Access system (EMMA) at the time the securities were sold or purchased. Specifically, the report
Find Advertising Regulation guidance on what and when to file that is related to new member firms and existing member firms.
Following are FAQs about FINRA registration and qualification requirements. Click on the links below to view all sections of the FAQs.
Section C: "...short interest reports could be due by 6:00 p.m. ET one business day after the designated reporting settlement date..." In this statement, it's the data that is fixed but the frequency is dynamic. For example, if there's no short sale for 2 days then there will be a reporting gap. Consider that the reporting frequency be fixed but the content be dynamic. A daily
As a retail shareholder and investor (equities and options) in multiple companies such as Tesla, Gamestop, AMC, along with the typical ETFs tracking the broader market I feel that we have not been well served by the current rules and system. The lack of transparency, limited reporting, and massive loopholes like synthetic short positions and loan obligations not being required to be reported in
February 1999
Year 2000 Legal Update
As we rapidly approach the Year 2000, there are some legal issues that all member firms should consider. Following is important information on disclosure requirements.
The Securities and Exchange Commission (SEC) Staff Legal Bulletin No. 5 requires disclosure of Year 2000 information in the financial statements of all public companies. Amendments to SEC
This is the final reminder for the TRACE Depository Institution Reporting requirement before this initiative commences.
As announced by the Board of the Federal Reserve System in the Federal Register on October 28, 2021, FINRA will collect detailed data on depository institutions' daily transactions of marketable U.S. Treasury securities and of the debt and MBS issued by U.S. federal
Comment Period Expires October 1, 1994
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceRegistrationTraining
Executive Summary
The North American Securities Administrators Association (NASAA) has published form revisions in draft format for public comment in the September 1994 edition of the Commerce Clearing House (CCH) NASAA Reports. The comment period expires October 1,
The FINRA Manual keeps investment professionals up to date on all our official regulations. It outlines FINRA’s unique rules and guidelines, as well as our current corporate organization. It consists of two main components:
Our Rules
FINRA’s rules and guidelines ensure a safe and fair market. These rules are constantly changing to adapt to new developments in the industry.
