For your firm to become a registered funding portal with FINRA, your firm must complete the following steps.1. Reserve Your Firm’s NameMake sure to request and reserve a proposed name for your firm from FINRA before filing with the SEC. FINRA checks that the name is not identical to an existing member firm’s name or so similar that it will confuse or mislead others.To reserve a name, please
The Registered Representative Composition Report is produced on a quarterly basis and displays trends in the profile of registered representatives associated with the firm. The report allows firms to compare their statistics to those of the industry. The data in this report comes from Web CRD®.
This report is generally published approximately 5 weeks after the last business day of the quarter.
There are nine categories of reports currently available on the Report Center:
Corporate Financing
Cross-Market Supervision
Disclosure
Equity
MSRB
Online Learning
Options
Risk Monitoring
TRACE
Unread Reports
The Unread Reports section contains a list of the most recent reports available to you that you have not yet viewed. The list of reports (displays only the most recent version
NASD is issuing this article to clarify member responsibilities as they relate to OATS reporting when: 1) routing an order to another exchange for handling or execution, and 2) executing an order and reporting the execution on a national securities exchange or a facility operated by a national securities association.
Technology Based Innovations for Regulatory Compliance in the Securities Industry outlines recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and implications these technologies may have for broker-dealers.
The report follows an in-depth review conducted by FINRA on the emergence of RegTech tools within the securities industry and
Chairman Sarbanes, Senator Gramm, Members of the Committee, thank you for this opportunity to testify on the vital, troubling and timely issues of investor protection and accounting regulation revealed by the collapse of Enron.
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Regulatory Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council), on which the National Association of Securities Dealers, Inc. (NASD®)
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
Initial plans for Nasdaq® decimalization testing are included in this Notice to Members. Also, a summary is provided of the industry critical dates.
Questions/Further
<p>NASD Regulation Inc.'s review of membership names.<br />
</p>
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of August 21, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
BIOB.GA
Bio-Rad Laboratories Inc.
