(a) General
(1) In furtherance of FINRA's obligations to foster cooperation and coordination of the clearing, settling and processing of transactions in equity and debt securities of any issuer with a class of publicly traded, non-exchange listed, securities in the OTC market and, in general, to protect investors and the public interest, FINRA's Operations Department ("Department
Each registration category has a default base qualification exam. Starting in January 2023, if a registration category was obtained by a passing alternate qualification exam, a “Credit” for the default base exam(s) is added to the individual’s exam information in their CRD record. This information is viewable in their FINRA Gateway profile as well as the Qualifications area in FinPro.
 
December 17, 2004Beginning February 14, 2005, ECNs will be required to capture and report Routed Order Identifier information to OATS (See NASD Notice to Members 04-85). On that date, NASD, for routing firms, will begin including orders routed to ECNs as part of the Interfirm Route Matching statistics posted on the OATS Web Interface. Stats for ECNs and other order-
This document provides guidelines regarding the use of the Trace Reporting and Compliance Engine and TRACE trademarks. Any use of these trademarks must be in accordance with these guidelines.
For your firm to become a registered funding portal with FINRA, your firm must complete the following steps.1. Reserve Your Firm’s NameMake sure to request and reserve a proposed name for your firm from FINRA before filing with the SEC. FINRA checks that the name is not identical to an existing member firm’s name or so similar that it will confuse or mislead others.To reserve a name, please
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On March 1, 1991, the SEC approved an NASD proposal to amend Schedule H to the NASD By-Laws to eliminate the current reporting thresholds of $10,000 or 50,000 shares so that the reporting requirements of Schedule
ACTION REQUIRED
SUGGESTED ROUTING
KEY TOPICS
Legal and ComplianceOperationsSenior Management
Short Interest Reporting
Intermarket Surveillance Group
Executive Summary
This Notice to Members advises member firms that, effective September 2007, they are required to increase the frequency of short interest reporting from monthly to twice a month.1 Attachment A outlines the revised Short
Public GovernorStrategic Advisor, Humana, Inc.Governor Since 2021Committees: Audit & Risk Committee, Compensation & Human Capital Committee, Finance, Operations & Technology Committee Professional ExperienceHumana, Inc. (2017 – present)Chief Information Officer (2021 – 2024)Chief Technology and Risk Officer (2019 – 2021)Chief Risk Officer (2017 – 2019)Capital One
This rule is no longer applicable. Incorporated NYSE Rules have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
(a) Each member and member organization shall submit to the Exchange at such times as may be designated in such form and within such time period as may be prescribed such information as the Exchange deems essential for the
This page is where you can download files containing quarterly OTC Equity Securities categorization for FINRA rule 6470 - Disclosure of Order Routing Information for OTC Equity Securities.
