November 2017
The Trading & Financial Compliance Examinations (TFCE) section of the Market Regulation Department (Market Regulation) at the Financial Industry Regulatory Authority, Inc. (FINRA) is conducting a review of [FIRM] concerning the impact the receipt of order routing inducements, such as payment for order flow and maker-taker rebates, has on the Firm’s [equities and options]
Comment Period Expires October 17, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInternal AuditLegal & ComplianceOperationsSystemsTrading
Executive Summary
The NASD® requests comment on a proposal to require the use of Standard Transferor and Transferee Applications for Transfer of Direct Participation Programs (DPP) Securities, Standard Registration Confirmation Form,
As a RIA for over 20 yrs I have seen my fair share of shorting and have done it with some equities in special cases for aggressive clients. I am a small independent RIA that uses a combination of ETFs and individual stocks in the management of my clients funds. I can tell you flat out that the system of clearing and reporting short sales is completely broken. This is especially true with small,
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 1993:
January 1
New Year's Day
July 5
Independence Day (Observed)
February 15
Presidents' Day
September 6
Labor Day
April 9
Good Friday
November
On January 31, 2022, FINRA introduced the Participant Data Management System (“PDM”) which firms now use to manage access to the FINRA trade reporting facilities, including TRACE, ORF and ADF. PDM also allows firms to add, view, and modify users of the TRAQS web interface. Firms are strongly encouraged to use PDM to review their TRAQS users on a regular basis to ensure that accounts remain valid
Summary
FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails that include the domain “@invest-finra.org”. FINRA recommends that anyone who clicked on any link or image in the email immediately notify the appropriate individuals in their firm of the incident.
The domain of “invest-finra.org” is not connected to FINRA and firms should delete all emails
Notice of FINRA District Committee Elections and Ballots
As a self-regulatory conglomerate it is beyond the reasoning of a "retail" investor as to why such ordinances do not already exist. The SEC itself has proclaimed naked-short selling to be a well established predatory and dangerous practice that undermines the free-market operations of millions of non-institutional investors who cannot play by the same rules. In addition to the
The FINRA Board of Governors will consider the following rulemaking item at its September 2014 meeting. After the September 19 meeting, FINRA will notify firms via email about the Board’s actions on this item and anticipated next steps, if any.
Equity Trading Initiatives
ATS Order Book Information
The Board will consider a proposal to require alternative trading systems (ATSs) to provide FINRA
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
Firms that are members of FINRA as of the close of business on Friday, October 18, 2019, are eligible to vote for the contested seats on the Regional Committee corresponding to the district in which
