FINRA will consider, as a whole, the Applicant’s business plan, information and documents submitted by the Applicant under NASD rule requirements, information provided during the Membership Interview, as well as information obtained by the staff, taking into account the following standards set forth in NASD Rule 1014:
To be approved as a FINRA member firm, the Form NMA and supporting documentation must satisfy the Standards of Admission set forth in NASD Rule 1014 and all other statutory and regulatory requirements.
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9100.
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the third quarter of 2019. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of December 20, 2019. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter December 19
I'm writing to request more transparency, fairness and accountability in our financial markets, as all of us rely on our regulatory entities for that assurance. There are some things that are of particular interest to me: 1. Transparency of Buy/Sell orders in the market as a whole, including but not limited to OTC/ATS off market trading. 2. Information market makers have when it comes to
INFORMATIONAL
Trade Date—Settlement Date
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date—Settlement Date Schedule
The Nasdaq Stock Market and the securities exchanges will be closed on Thursday, July 4, 2002, in observance of Independence Day. "
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions
Background
FINRA is pleased to announce a new centralized, secure file transfer platform called fileX, which enables firms to programmatically send, track and receive files in one place. fileX significantly streamlines the process for submitting bulk filings to FINRA, provides additional options for downloading files from FINRA, and allows for seamless and secure authentication and authorization
ENFORCE YOUR RULES. These rules don't mean anything if they're not enforced. And I'm not talking about giving Robinhood a 70m lawsuit, that's just the cost of doing business. The penalties need to be crippling to ensure that the rules are followed. Reduce the reporting period to daily. We live in the digital age, there is absolutely NO reason that this information isn't
FINRA E-Bill is an online billing system through which firms can review invoices and submit payment via wire transfer or ACH (or online by credit card). E-Bill is accessible through the FINRA Firm Gateway-a tool that provides centralized access to FINRA regulatory and filing applications.
