REQUEST FOR COMMENT
Order Audit Trail System
Action Requested By: July 10, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Market Making
Operations
Senior Management
Trading
Order Audit Trail System
Executive Summary
NASD is issuing this Notice to Members to solicit comments from members and other interested parties on proposed changes to the OATS
In observance of Independence Day, the ORF System will be closed on Friday, July 3, 2020. As stated in the data feed interface specifications, FINRA may send out unmarked test data via its data feeds on market holidays. Direct data feed subscribers, including recipients of the Trade Data Dissemination Service 2.0 (TDDS 2.0) and Bulletin Board Dissemination Service (BBDS) feed(s) should take the
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
On Thursday, September 1, 2022, FINRA will begin to collect data on depository institutions’ daily transactions in marketable U.S. Treasury securities and in the debentures and MBS issued by U.S. federal government agencies, including government-sponsored enterprises (agencies), via its Trade Reporting and Compliance Engine (TRACE).
A final production User Acceptance Test (UAT) will occur on
FINRA member firms that use SentinelOne Endpoint Detection and Response (EDR) protections—and potentially other EDR service providers—should be aware of a vulnerability which could allow threat actors to gain local administrative access to publicly accessible servers. This Cybersecurity Advisory describes the vulnerability as well as recommendations to protect your firm.
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Syndicate
Systems
Technology
Trading
Executive Summary
As the year 2000 approaches, organizations throughout the world are facing the formidable challenge of ensuring that their own computer systems, and other computer systems they depend upon, will continue to operate successfully
FINRA has been actively monitoring financial technology-related (FinTech) developments in the securities industry.
FINRA's Dispute Resolution Services (DRS) helps investors and firms resolve securities-related disputes through arbitration and mediation. We provide a fair, efficient and effective forum for resolving disputes involving brokerage firms and their brokers.8,000+well-qualified arbitrators drawn from a variety of professions and backgrounds.84%of customer arbitration cases closed
The Cybersecurity and Technology Governance section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
July 1999
Year 2000: Will Your Firm Be Compliant?
Recognizing the importance of ensuring the Year 2000 readiness of the securities industry, the Securities and Exchange Commission (SEC) has taken key steps to encourage active compliance efforts by broker/dealers. The first of these actions required broker/dealers to submit two Form BD-Y2K progress reports under Rule 17a-5 of the Securities and
