July 24, 2023During this session, FINRA staff discuss the recent MOVEit vulnerabilities that impacted several FINRA member firms, how FINRA responded, and practices that firms may find useful in mitigating the risks posed by ransomware. This webinar also includes a discussion on the CAU in more detail and what types of intelligence you can expect from FINRA moving forward.Speakers:Brita
Beginning Monday, November 6, 2023, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 3, 1987, 17 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,788. These 17 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
A hindrance to increasing the diversity in the securities industry may be the cumbersome processes regarding testing accommodations which disparately impact neurodiverse and disabled persons. Documentation requirements exceeding beyond what the ADA establishes as sufficient has a disparate impact on neurodiverse and disabled persons. Requiring unnecessary documentation is often costly, untimely
This rule is no longer applicable. NASD Rule 3140 has been superseded by FINRA Rule 1020. Please consult the appropriate FINRA Rule.
(a) Application — For the purposes of this Rule, the term "member" shall be limited to any member of the Association who is subject to SEC Rule 15c3-3 and is not designated to another self-regulatory organization by the Commission for financial
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Codes of Arbitration Procedure to make various clarifying and technical changes to the Codes, including in response to recommendations in the report of independent counsel Lowenstein Sandler LLP.
Financial security should be available to all.
Special Election to Fill FINRA Large Firm Governor Vacancy
Do not limit my financial decisions.
Leave MY Financial FREEDOM Alone!!
