SEC Approval and Effective Date for New Consolidated FINRA Rules
As announced in Regulatory Notice 19-21, FINRA is expanding the summary data relating to over-the-counter (OTC) equity trading that FINRA publishes on its website. This expansion includes:
new monthly aggregate block-size trading data for OTC trades in NMS stocks executed outside an alternative trading system (ATS) on a one-month delayed basis; and
aggregate non-ATS volume for all firms by
INFORMATIONAL
Decimalization Testing
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
Recently the National Association of Securities Dealers, Inc. (NASD®) announced that selected NASD member firms must participate in
GUIDANCEOATS Reporting RequirementsEffective Date: February 14, 2005SUGGESTED ROUTINGKEY TOPICSInternal AuditLegal & ComplianceOperationsSenior ManagementSystemsTradingOATSRule 6954(c)Executive SummaryOn September 17, 2004, the Securities and Exchange Commission (SEC) approved amendments to Rule 6954(c) to require that electronic communication networks (ECNs) that electronically receive
FINRA ("FINRA") respects the intellectual property rights of others and expects its users to do the same. In accordance with the Digital Millennium Copyright Act of 1998, the text of which may be found on the U.S. Copyright Office website at http://www.copyright.gov/legislation/dmca.pdf, FINRA will respond expeditiously to claims of copyright infringement committed using the FINRA
This page provides general guidance regarding municipal advisor regulation. Please refer to the SEC Office of Municipal Securities web page and the Municipal Securities Rulemaking Board website for complete information.The SEC's final municipal advisor registration and recordkeeping Rules 15Ba1-1 through 15Ba1-8 and 15Bc4-1 were effective July 1, 2014. Firms that are engaged, or plan to
GUIDANCE
Branch Office Registration
Effective Date: October 31, 2005
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Training
Branch Office Registration
Central Registration Depository
(CRD® or Web CRD)
Form ADV
Form BR (Uniform
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
On December 3, 1998, the
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Operations
Options
Systems
Trading
Effective November 13, 1995, tier sizes for 900 Nasdaq National Market® securities will be revised in accordance with paragraph 245 Ia7 of the Rules of Practice and Procedure for the Small Order Execution System (SOESSM).
Under the SOES Rules, the maximum SOES order size for a
Effective October 16, 2023, FINRA revised Rules 12800 and 12805 of the Code of Arbitration Procedure for Customer Disputes (Customer Code) and Rule 13805 of the Code of Arbitration Procedure for Industry Disputes (Industry Code) relating to the expungement of customer dispute information from the Central Registration Depository (CRD®). These frequently asked questions provide guidance regarding
