The 2025 FINRA Annual Regulatory Oversight Report (the Report) provides member firms with insight into findings from the recent oversight activities of FINRA’s Member Supervision, Market Regulation and Enforcement programs (collectively, regulatory operations programs).
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
For the period of 1/1/2025 through 1/31/2025AAIA SECURITIES LAIA SECURITIES LLCIRVINE, CA, UNITED STATESRESIGNEDANNEXUS SECURITIANNEXUS SECURITIES, LLCNAME CHANGED TO: INTEGRITY CAPITAL, LLCANNEXUS SECURITIINTEGRITY CAPITAL, LLCNEW NAME OF: ANNEXUS SECURITIES, LLCAQUILA DISTRIBUTAQUILA DISTRIBUTORS LLCNEW YORK, NY, UNITED STATESRESIGNEDARTA FINANCE SECARTA FINANCE SECURITIES LLC153 CASTRO STREET
FINRA is issuing this Notice to announce the effective dates of two new supplementary materials under FINRA Rule 3110 (Supervision).
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 21, 1987, 12 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,850. These 12 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 21, 1985, 42 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,976. These 42 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 15, the National Market System will include 935 securities as 50 more NASDAQ securities are phased into the System. These 50 securities meet the SEC's voluntary designation criteria, which include six month average trading volume of 100,000 shares a month and a minimum bid price of $5.
The 50 securities scheduled to
Compliance Outreach Program for Municipal Advisors
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of April 27, 1994, the following 66 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,610:
Symbol
Company
Entry Date
SOESSM Execution Level
ADAX
Applied Digital Access, Inc.
3/29/94
500
CMSH
Cameron Ashley Inc.
3/29/94
500
CHPP
Champps Entertainment, Inc.
3/29/94
Summary
FINRA seeks comment on a proposal to accelerate arbitration case processing when requested by parties who are seriously ill or are at least 75 years old. The proposal would help ensure that these parties are able to participate meaningfully in FINRA arbitration by shortening certain case processing deadlines for parties and arbitrators under the Codes.
The text of the proposed
