FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to
INFORMATIONAL
Performance Fees
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Rule 2330
Performance Fee Arrangements
Investment Advisers
Executive
INFORMATIONAL
NAC Nominations
Nomination Deadline: September 15, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill three upcoming vacancies on the National Adjudicatory Council (NAC). The
FINRA Requests Comment on Proposed Amendments to Its Membership Application Program to Incentivize Payment of Arbitration Awards
First in a series highlighting colleagues working behind the scenes to help FINRA achieve our mission.
Raj Pillai is no stranger to crises. Y2K. 9/11. The Northeast blackout of 2003. Superstorm Sandy. He has worked through them all, the latter at FINRA, which he joined in 2011.
“There are different challenges with each situation. Every time, we’ve gotten better and better in terms of technology
The TRACE Quality of Markets Report Card for Securitized Products is a monthly status report for the reporting of transactions in Asset Backed Securities, Mortgage Backed Securities and other similar securities, collectively defined as "Securitized Products", to the Trade Reporting and Compliance Engine (TRACE). Firms are required to report trades in accordance with established FINRA
(a) When and How Transactions are ReportedEach member that is a Party to a Transaction in a TRACE-Eligible Security must report the transaction. A member must report a transaction in a TRACE-Eligible Security as soon as practicable, but no later than within one minute of the Time of Execution, except as otherwise specifically provided below. Transactions not reported within the specified
As previously announced in the March 21, 2007 OATS Reporting Technical Specifications, a new Routing Method Code of “I” (Intermarket Sweep Order) became available on June 11, 2007. As of February 4, 2008, the Routing Method Code of “I” will be required in the OATS Route and/or Combined Order/Route Reports for all OATS reportable orders routed to another market center that are identified to the receiving market center as an ISO.
August 7, 2006
NASD is publishing this article to provide additional guidance to members regarding use of the Routing Method Code of "S" (Smart Router) on Route and Combined Order/Route Reports.1
For purposes of OATS reporting, NASD defines a Smart Router as a system that, based on predetermined logic applied to variable market conditions, determines without human intervention, the
SEC Approves Consolidated FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities)
