Summary
FINRA will conduct its Annual Meeting of firms on Friday, August 19, 2022, at 10:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, Washington, D.C. The purpose of the meeting is to elect an individual to fill one small firm seat on the FINRA Board of Governors (FINRA Board or Board).1
It is important that all eligible small firms be represented by proxy or in
TO: NASD Members and NASDAQ Level 2 and Level 3 Subscribers
Effective December 21, 1984, an additional 25 NASDAQ National Market System (NASDAQ/NMS) securities will begin trading in the Small Order Execution System (SOES). SOES began successfully on December 14 with over 66,000 shares in 25 different stocks traded during the first day of operation. (A list of those securities is contained in
INFORMATIONALDistrict ElectionsSUGGESTED ROUTINGKEY TOPICSLegal and ComplianceOperationsRegistrationSenior ManagementDistrict ElectionsExecutive SummaryThrough this Notice, NASD announces the election results for the District Committees and the District Nominating Committees. The newly elected District Committee members will serve until January 2007.1District 10 (New York) had an additional
Within FINRA, we view ourselves as working on the “front lines” of investor protection. What does that mean? It means that we act quickly to identify misconduct, stop fraud and prevent losses, obtain restitution for harmed investors, and remove bad actors from the brokerage industry. Here, we are focusing on that last piece—barring bad actors from associating with a
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
I don’t know a ton about finance or the stock market. I know less about options and derivatives (I did watch a PBS program about Brooksley Born once) and that is all I really knew on the matter. But I’m learning more every day and the more I learn the more I’m convinced that there is perhaps something rotten in the DTCC, SEC and FINRA… to name a few. It seems financial regulators refuse to do
INFORMATIONAL
Membership And Registration Rules
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Training
Direct Participation Programs Limited Principal (Series 39)
Direct Participation Programs Limited Representative (Series 22)
Equity Trader Limited Representative (Series 55)
Financial and
In 2009 FINRA conducted a voluntary firm survey to determine preparedness for a pandemic in light of current events involving influenza A (H1N1). This survey continues FINRA's efforts to assist firms with business continuity planning by facilitating the exchange of information.
FINRA announced today that it has fined BofA Securities, Inc. $24 million for engaging in more than 700 instances of spoofing through two former traders in U.S. Treasury secondary markets and related supervisory failures spanning more than six years.
TO: NASD Members and NASDAQ Level 2 and Level 3 Subscribers
Listed below are the 25 NASDAQ National Market System (NASDAQ/NMS) securities which have been selected as the first group of issues to trade in the Small Order Execution System (SOES) developed and operated by NASD Market Services, Inc. In SOES, agency orders of 500 shares or less received from public customers may be executed
