Application for Exemptive Relief from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System
To whom it may concern, FINRA 21-19 will be an effective change that should've been implemented long ago to end the systemic risk involved in the current inadequate state of short-interest reporting. American and global investors are looking at the state of the American market and find themselves uncertain about the validity of the reported numbers when various short positions are
The Special Investigations Unit (SIU) within FINRA’s National Cause and Financial Crimes Detection (NCFC) program is bringing to your attention some additional Russia-related sanctions developments. Please note that these are in addition to those detailed in FINRA Regulatory Notice 22-06.
On February 26, 2022 the White House released a Joint Statement on Further
Eileen Famiglietti, Vice President, Enterprise Risk Management (ERM), leads the ERM program, which provides transparency around the enterprise-level risks FINRA faces in the execution of its mission, strategic goals and key business objectives. The program helps inform FINRA's strategic planning, budgeting and resource allocation processes, as well as its decision making. She oversees the
(a) No member or person associated with a member shall accept any payment or other consideration, directly or indirectly, from an issuer of a security, or any affiliate or promoter thereof, for publishing a quotation, acting as market maker in a security, or submitting an application in connection therewith.
(b) The provisions of paragraph (a) shall not preclude a member from accepting
February 12, 2002When a firm electronically routes an order to another firm, the routing firm must pass a Routed Order ID to the firm receiving the order. As defined in the OATS Reporting Technical Specifications, the Routed Order ID is an identifier assigned to an order by the order routing firm when the order is routed. It is the Receiving firm's responsibility to identify, record and
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
FINRA Reminds Firms of Their Obligations Under the
Foreign Corrupt Practices Act
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Operations
Systems
Trading
The NASD® will observe the following holiday schedule for 1996:
January 1
New Year's Day
February 19
President's Day
April 5
Good Friday
May 27
Memorial Day
July 4
Independence Day
September 2
Labor Day
November 28
Thanksgiving Day
December 25
Christmas Day
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
The NASD will observe the following holiday schedule for 1992:
January 1
New Year's Day
July 3
Independence Day (Observed)
February 17
Presidents' Day
September 7
Labor Day
April 17
Good Friday
