On November 15, 2021, the FINRA equity trade reporting facilities (the Alternative Display Facility, the FINRA/Nasdaq Trade Reporting Facilities and the FINRA/NYSE Trade Reporting Facility, through which member firms report OTC transactions in NMS stocks to FINRA1) will begin supporting timestamps up to nanosecond (HH:MM:SS.sssssssss) granularity in accordance with amendments to FINRA’s equity
NASDR has filed with the SEC a proposed rule change to clarify the requirements for members to provide electronic access to Nasdaq's SelectNet and SOES order entry systems to public customers and non-members through the member firm's own system.
How are we (the public retail) supposed to believe any information reported is accurate, when fines for breaking any rules take years to resolve and are minuscule when compared to the money that is being made off of defrauding the little guy? When the people lying are friends with the people who are supposed to keep them in check, all it takes is a little kick back to make it all go away. Lame or
FINRA has launched an online advertising campaign, Get Your Head in the Trade, encouraging new investors to understand investment risks and rewards as well as their own financial goals and risk tolerance before making an investment decision.
Proposed Rule Change Relating the FINRA By-Laws to Amend the Personnel Assessment and Gross Income Assessment
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule to operate NASD's Alternative Display Facility ("ADF") on a permanent basis, rather than on a pilot basis. The ADF pilot program is scheduled to expire on January 26, 2007.
NASD has filed with the SEC a proposed rule change to amend NASD Interpretive Material 2260 ("IM-2260") regarding rates of reimbursement for expenses incurred in forwarding proxy material, annual reports, information statements, and other material.
SEC Approves Rule Change Creating New Limited Representative – Investment Banker Registration Category and Series 79 Investment Banking Exam
FINRA Requests Comment on Proposed Amendments to Its Discovery Guide to Require Production of Insurance Information in Arbitration
Effective February 1, 2008, FINRA is expanding the class of entities permitted to use the delta hedging exemption to include other broker-dealers and certain financial institutions. NASD Rule 2860, as amended, is set forth in Attachment A to this Notice.
