FINRA has 12 advisory committees that provide feedback on rule proposals, regulatory initiatives and industry issues. Approximately 100 industry members and 30 non-industry members serve on these committees. The advisory committees meet in-person or via teleconference typically between two and five times a year.
It has come to FINRA’s attention that the securities listed below have been set up on FINRA’s TRACE system, but have previously also been identified as municipal securities. As a result, transactions in many of these securities have been reported to both TRACE and the MSRB’s Real-Time Transaction Reporting System (RTRS).
In light of the above, FINRA contacted several of these securities’
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
As of June 22, 1999, the following bonds were added to the Fixed
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
As of April 22, 1999, the following bonds were added to the Fixed
I am a new retail investor. I have learned so much in the last year, however, I have also learned that the market is terribly manipulated by systemic bad actors. and that a great imbalance exist that is unfair and wrong. Please consider the little guy and how we make up a great multitude longing to be treated with fairness and equality.
As FINRA’s technical service provider, Nasdaq supports FINRA client electronic connections to its Multi Product Platform (MPP) services, such as TRACE, the Over the Counter Reporting Facility (ORF), the OTC Bulletin Board (OTCBB) and the Alternative Display Facility (ADF).
In addition, data feeds produced as a result of transactions into these FINRA facilities are managed by Nasdaq. This
Report Reflects New and Evolving Risks, Industry Trends, and Noteworthy Findings
WASHINGTON—FINRA published today its 2023 Report on FINRA’s Examination and Risk Monitoring Program to provide member firms with key insights and observations to use in strengthening their compliance programs.
The comprehensive report from FINRA’s regulatory operations covers 24 topics — including four new topics
Proposed Rule Change Relating to Establishing Optional TRACE Data Delivery Services and Related Fees
FINRA Requests Comment on Proposed FINRA Rule Regarding Front Running of Block Transactions
GUIDANCE
Qualification Examinations
Implementation Date: November 30, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Training
Limited Principal—General Securities Sales Supervisor (Series 9/10)
Limited Principal—Registered Options (Series 4)
Limited Representative—Investment Company and Variable Contracts Products (Series 6)
Rule 1022(f)
Rule 1022(g
