INFORMATIONAL
Corporate Debt Securities Transaction Reporting
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Debt Securities
Dissemination
Operations
Rule 6200 Series
Transaction Reporting
Executive Summary
FINRA released a new edition of the OATS Reporting Technical Specifications dated March 15, 2010. The changes described in this edition of the OATS Reporting Technical Specifications will be available in the OATS Production environment on April 26, 2010 and will be available in the OATS Certificate Test environment on April 12, 2010.
Saving for retirement is arguably the single most important financial endeavor most of us undertake. It takes initiative, planning and consistent saving and investing to create a nest egg to cover a retirement that could stretch two or more decades. No matter where you work or how much you earn, it’s important to start saving as early as possible to take maximum advantage of compounding, which
FINRA encourages comments on this paper, including areas where FINRA may:offer guidance or modifications to its rules to address the adoption of quantum computing;foster greater crypto agility within firms to prepare for post-quantum cryptography; andseek to prepare for a quantum future while maintaining investor protection and market integrity.FINRA also seeks input from financial industry
(a) Each member shall designate and specifically identify to FINRA one or more principals who shall establish, maintain, and enforce a system of supervisory control policies and procedures that:
(1) test and verify that the member's supervisory procedures are reasonably designed with respect to the activities of the member and its associated persons, to achieve compliance with
FINRA's educational materials highlight news, regulatory updates and other compliance topics. You can find advertising-related education using the following links.E-Learning CoursesFINRA e-learning courses offer an affordable solution for Firm Element, advertising regulation and other training needs. Firms trust FINRA's e-learning library for firm-wide training on rules and regulations
Executive Summary
The purpose of this Election Notice is to notify FINRA small firm members of the process to fill one South and one Midwest Region vacancy on the Small Firm Advisory Committee (SFAC). In response to the Election Notice published on September 1, 2020, individuals only self-nominated to run for the South Region seat. Therefore, ballots will be distributed to elect one SFAC South
The Reg BI and Form CRS topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers, Inc. ("Association" or "NASD") is publishing interpretations of restrictions which apply to venture capital investments by NASD members and certain of their control persons. 1/ These restrictions (hereinafter the "Venture Capital Restrictions") were added to the
