As a reminder, FINRA is introducing a new system, Participant Data Management (PDM), for FINRA member firms to submit the FINRA Participant Agreement and FINRA Order Form. Starting on December 1, 2021, member firms may test the new PDM system in the customer test environment with the same login credentials used to access the FINRA Participant Agreement or FINRA Order Form today in production. The
The Reg BI and Form CRS topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
FINRA plans to update the TRACE for Treasuries FIX acknowledgement messages on Monday, July 10, 2023.
Currently, FIX Tag 60 (Transact Time) timestamps support up to microsecond precision (Format: YYYYMMDD-HH:MM:SS.sss.mmm); however FIX acknowledgement messages consist of only millisecond precision (Format: YYYYMMDD-HH:MM:SS.sss). The TRACE for Treasury Securities FIX Specification
INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Schedule
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
The
Why do we engage with scammers? What makes one person more likely to engage than the next? Of those that engage, what makes someone more likely to lose money? On this episode, we dig into the research on these important questions with three academics in the field.
Annual Conference, FINRA's premier event, provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics. This year it takes place May 13-15, 2025.
Regulatory Notice
Suggested Routing
Senior Management
Advertising
Corporate Finance
Government Securities
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Systems
Trading
Training
Executive Summary
On January 29, 1996, the Securities
and Exchange Commission (SEC)
approved amendments to Sections
1(a)(v)
To help members track the status of NASD®Rule filings submitted to the Securities and Exchange Commission (SEC), the NASD will publish this information bimonthly in Notices to Members.
Following is a list of Rule filings by the NASD regarding broker/dealer regulation that are pending at the SEC or recently approved. Copies of Rule filings (and any amendments), the SEC release publishing the
Member's use of minimum commissions per trade or per share and the use of standardized commission schedules.
Executive Summary
The Federal Election Campaign Act requires federal candidates and political committees that influence federal elections to file various reports and statements with the Federal Election Commission (FEC) and state governments, including lists of individual contributors. These reports and statements may be inspected and copied by anyone, but the names and addresses of individual
