Pursuant to a Securities and Exchange Commission request, each SRO has agreed to make publicly available the trading data in connection with the Pilot. By making the trading data publicly available, researchers may study the Pilot.
FINRA reporting should fully cover all positions held in publicly traded companies. The reporting period should follow the standard settlement period. All reporting should be made available to the public within 2 hours of market close on a daily basis. All positions, including short positions should be required to be included without exception. Failure to accurately disclose a short position in
Report Brings Attention to Opportunities and Risks Presented by the Technology
WASHINGTON— FINRA released today a new report, Quantum Computing and the Implications for the Securities Industry. While practical quantum computing remains nascent, the research examines how the emerging technology that relies on quantum mechanics to perform complex calculations could significantly alter the
FINRA’s Cybersecurity Half-Day Seminars provide attendees with information on the fundamentals of cybersecurity, help organizations understand vulnerabilities and threats related to cybersecurity, create resilience against cyber-attacks, and discuss effective practices for and handling issues related to cybersecurity.
The seminars are designed for compliance and cybersecurity professionals at
Background
Since we introduced our FINRA360 initiative, FINRA has taken a series of actions to enhance support for small firms, including providing small firms with tools and resources to help them comply with regulations.
A consistent comment that FINRA has heard is a desire on the part of small firms for a tool to allow them to get answers to general questions that
Sec. 6.2 The Corporation shall notify the members of the names of each nominee selected by the Nominating Committee for open National Adjudicatory Council seats that are Small Firm, Mid-Size Firm, and Large Firm seats, the qualifications of the nominee, and such other information regarding each nominee as the Nominating Committee deems pertinent. A person who has not been so nominated
(a) Before First Hearing Session BeginsAfter the Director sends the list(s) generated by the list selection algorithm to the parties, but before the first hearing session begins, the Director may remove an arbitrator for conflict of interest or bias, either upon request of a party or on the Director's own initiative.(1) The Director will grant a party's request to remove an
FINRA regulates a critical part of the securities industry – member brokerage firms doing business in the U.S. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of its work.
The landscape of types of investment products is quite broad, and extends well beyond stocks, bonds and mutual funds, which are familiar to many investors. We’ll give you an overview of major investment categories—those that have been around for decades and some that are emerging.
The FINRA South Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the South Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry, and provides
