TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Thursday, November 24, Thanksgiving Day; Monday, December 26, Christmas Day Observance; and Monday, January 2, 1984, New Year's Day Observance. "Regular Way" transactions made on the preceding business days will be subject to the
We are at a cross roads as an economy, thus as a country. Hedge funds and other similar large corporate entities have an unfair advantage in the market, and has acted to the detriment of the health of our economy as a whole. Loose rules related to the reporting of short interest and FTDs(fail to deliver) has created an environment that allows hedge funds and the like to take advantage of retail
This index provides a categorized reference of FINRA regulatory notices pertaining to communications with the public, marketing materials and advertising practices. Financial professionals can locate specific guidance by topic to ensure compliance with FINRA's advertising standards and rules.Notices by TopicAccount Statements: 08-77Auction Rate Securities: 08-21Bond Mutual Fund Volatility/
Mandatory Display Guidelines
The FINRA Board of Governors meets this week in New York. Read President and CEO Robert Cook’s email to firms previewing the agenda.
GUIDANCE
Fingerprinting Procedures
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Registration
Senior Management
Best Practices
Fingerprinting
Executive Summary
NASD is issuing this Notice to Members to remind members to review and, as necessary, update their fingerprinting procedures to help ensure that fingerprints
FINRA’s Enforcement Department is conducting an inquiry with respect to forex trading.
While Generative AI and large language models present numerous opportunities to create business efficiencies and offer many potential benefits to firms, regulators and investors, they also introduce unique risks. On this episode, we hear from three experts at FINRA who are closely looking at these technologies and following developments in this space.
Regulatory Obligations and Related Considerations
Regulatory Obligations
Effective liquidity controls are critical elements in a broker-dealer’s risk management framework. Exchange Act Rule 17a-3(a)(23) requires firms that meet the thresholds specified under the rule to make and keep current records documenting the credit, market, and liquidity risk management controls established and
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.
