Notice of FINRA District Committee Elections and Ballots
NASDR has filed with the SEC a proposed rule change to amend Rule 3110 (the "Books and Records Rule") of the Conduct Rules of the National Association of Securities Dealers, Inc. to: (1) change the definition of "institutional account" to include the accounts of investment advisers that, under the National Securities Markets Improvement Act of 1996 and new rules adopted by the
The Treasury Aggregate Statistics provide trading volume in U.S. Treasury Securities reported by FINRA Members to TRACE for the prior week. The reports have been published since March 2020. In the next few weeks, FINRA will publish the following:
On May 4, 2021, FINRA will publish historical weekly reports from January 2019 through the launch of the report in March 2020. The data will be
This month, we are marking the 10th anniversary of the FINRA Securities Helpline for Seniors—an important milestone for a critical service that FINRA provides to protect vulnerable investors and assist harmed investors. On this FINRA Unscripted podcast episode, we will be speaking with leaders from FINRA’s Vulnerable Adults and Seniors Team—Elizabeth Yoka, the manager of VAST Intake, and Michael Paskin, the manager of the VAST Investigations, to discuss the Helpline and its 10 years of protecting investors.
April is Financial Literacy Month, making this a great time to think about actions you can take to boost financial capability. FINRA and the FINRA Investor Education Foundation offer many resources to support you and your loved ones along your financial journey.
If you’re interested in over-the-counter (OTC) trading, you might have heard about dark pools, a type of alternative trading system (ATS) that was designed to handle large trades for institutional investors anonymously. Dark pools allow large buyers and sellers to trade large blocks of shares without causing the market to move against them.
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceMutual FundOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On January 1, 1991, amendments to Article III, Sections 2 and 21 (c) of the Rules of Fair Practice ("Rules"), which require NASD members to make reasonable efforts to obtain
On Thursday, March 18th, FINRA will conduct the first of its planned updates related to OATS retirement. During the call, FINRA staff will provide an update to the industry related to the OATS retirement efforts, including an overview of the related rule filing, status on the required accuracy and reliability standards that must be met before OATS can be retired, and a look ahead at
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The NASD reminds members that the NASD By-Laws require a statutorily disqualified person who wishes to obtain a controlling interest in, or become a controlling person of, an NASD member firm must, before assuming such a position, apply to the NASD for approval through the Eligibility Proceedings described in the NASD By-Laws
