Summary
FINRA is issuing this Notice to restate and supplement prior guidance regarding the circumstances under which a firm or individual may influence the outcome of an investigation by demonstrating extraordinary cooperation. This Notice incorporates FINRA’s prior guidance and provides clarification and additional information about how FINRA assesses whether a potential respondent’s
Last modified: November 9, 2023The use of the FINRA.ORG site, including all of its content (“FINRA Website”), is conditioned upon the acceptance by you (“End User”), without modification, of these terms of use ("Terms of Use"). Financial Industry Regulatory Authority, Inc. (“FINRA”) reserves any rights, privileges, or immunities not expressly granted under these Terms of Use.
By Kara Williams and Gargi Sharma
FINRA’s Special Investigations Unit (SIU) anticipates continuing our focus on Russia-related sanctions and evasion tactics, as well as other priority threats such as new account fraud, reporting of cyber-events and cyber-enabled fraud, market manipulation and trading-related frauds and Ponzi schemes. While SIU will focus our investigative resources on these
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceMunicipalOperationsSystemsTrading
As of August 29, 1994, the following bonds were added to the Fixed Income Pricing System (FTPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
HNTC.GA
Huntsman Corp.
10.625
3/31/01
SCTI.GA
SCI Tele Inc.
11.000
6/30/
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of July 24, 1991, the following 54 issues joined Nasdaq/NMS, bringing the total number of issues to 2,568:
Symbol
Company
Entry Date
SOES Execution Level
GNLB
Genelabs Technologies, Inc.
6/13/91
1000
GLYC
Glycomed Incorporated
6/13/91
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceMunicipalOperationsSystems
On January 31, 1994, the Securities Investor Protection Corporation (SIPC) instituted a direct payment procedure for:
McCarley and Associates, Inc.242A South Pleasantburg DriveGreenville, SC 29606
Questions regarding the firm should be directed to SIPC:
Securities Investor Protection Corporation805
SEC Approves Rule Amendment Requiring That ADF Market Participant Provide Advance Written Notice When Denying Access; Effective Date: October 20, 2004
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veteran's Day, Monday, November 11, 1991, and Thanksgiving Day, Thursday, November 28, 1991. On
Effective Monday, December 5, 2022, ORF will begin supporting timestamps up to nanosecond granularity (HH:MM:SS.sssssssss) in accordance with amendments to FINRA’s equity trade reporting rules. Please refer to FINRA Regulatory Notice 20-41 for additional information on firms’ reporting obligations under these amendments. ORF will support timestamps of up to nanosecond granularity on all inbound
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The board Govenors of the National association of Securities
