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Election Notice – 3/10/16
Annual FINRA Election Cycle and Procedures Overview
Market Order Timeliness Statistical Report
The Market Order Timeliness Statistical Report is published monthly based upon firm-reported data detailing the number of customer market orders executed by your firm in NMS securities and classifying these orders based on time duration to execute. Supplementary Material .01 of FINRA Rule 5310 – Best Execution and Interpositioning - states that member firms must make every effort to execute
Notice to Members 98-60
SUGGESTED ROUTING Senior Management Executive Representatives Legal & Compliance Registration Trading Training     Executive Summary     On April 1, 1998, NASD Regulation, Inc., implemented amendments to the National Association of Securities Dealers, Inc. (NASD®) Registration Rules
Notice to Members 98-34
SUGGESTED ROUTING Senior Management Executive Representatives Institutional Internal Audit Legal & Compliance Operations Research Systems     Executive Summary     The Securities and Exchange Commission (SEC) is soliciting comment on temporary rule amendments to SEC Rule 17a-5
Extension Reason Codes
List of extension reason codes with summary information and filing details.
Regulatory Notice 13-39
SEC Approves Amendments to FINRA Rule 2360 (Options) and FINRA Rule 4210 (Margin Requirements) in Connection With Over-the-Counter Options Cleared by the OCC
Regulatory Notice 10-60
SEC Approves New FINRA Rule to Address Abuses in the Allocation and Distribution of New Issues
Testimony Before the Committee on Banking, Housing, and Urban Affairs
I am Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
Notice to Members 98-33
SUGGESTED ROUTING Senior Management Advertising Corporate Finance Legal & Compliance Operations Registration Trading Executive Summary On March 6, 1998, the Securities and Exchange Commission (SEC) approved new National Association of Securities Dealers, Inc. (NASD® or Association) Rules 6950 through 6957 (Rules), which establish an Order Audit Trail SystemSM (
Notice To Members 94-98
SUGGESTED ROUTING Corporate FinanceLegal & ComplianceOperationsTrading Executive Summary On September 20, 1994, the Securities and Exchange Commission approved a proposed rule change by the NASD that amends the listing requirements in Parts II and III of Schedule D to the NASD By-Laws to impose specific delisting requirements for units listed on the Nasdaq National Market® and The