SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
On August 10, 1995, the Securities and Exchange Commission (SEC) approved amendments to the NASD's rules to make a failure to honor a written and executed settlement agreement of a dispute arbitrated by any self-regulatory organization or mediated by the NASD® a violation of the Rules of Fair Practice.
As a not-for-profit, self-regulatory organization (SRO) with an 85-year history, FINRA pursues its mission of promoting investor protection and ensuring market integrity in many ways
CRCP® Program Overview
Learn more about the purpose and content of the FINRA Institute at Georgetown CRCP® program. They include building a culture of compliance and helping compliance professionals take their careers to the next level.
CRCP® Small Firm Scholarship Program
Gain a better understanding of the FINRA CRCP® Scholarship Program and get answers to some of the top questions.
Summary
FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails (see sample in Appendix) purporting to be from “FINRA SUPPORT” with the email address “[email protected]”. The email asks the recipient to pay attention “to the report attached below that requires your immediate response” and states that “[t]he attachment contains our updated Public Policy
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of January 11, 1991, the following 11 issues joined Nasdaq/NMS, bringing the total number of issues to 2,573:
Symbol
Company
Entry Date
SOES Execution Level
FBII
First Bancorp Indiana, Inc.
12/13/90
500
CATY
Cathay Bancorp, Inc.
12/14/
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 15, 1985, 14 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/ NMS to 2,149. These 14 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, September 3, 1985, 24 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,111. These 24 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
FINRA has 12 advisory committees that provide feedback on rule proposals, regulatory initiatives and industry issues. Approximately 100 industry members and 30 non-industry members serve on these committees. The advisory committees meet in-person or via teleconference typically between two and five times a year.
SummaryFINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. FINRA communicates information about renewal fees BD and IA firms owe via a Preliminary Statement in November, and
Member firms should be aware of an alleged large-scale data breach possibly affecting Oracle Cloud services at firms and third-party providers. FINRA recommends that firms review this information to assess any potential impact to their operations, as well as with third-party providers who provide services to the firm. FINRA previously delivered an email to firms whose domain names appeared in the threat actor post, as well as any firms that previously informed FINRA of their use of Oracle products and services.
