The 2024 FINRA Annual Regulatory Oversight Report provides member firms with insight into findings from FINRA’s Member Supervision, Market Regulation and Enforcement programs.
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsRegistrationTrading
Executive Summary
Beginning March 1, 1994, the NASD will assess an $85 surcharge on all initial and transfer Form U-4 filings that require a Special Registration Review (SRR) of information reportable on Page 3 of this Form.
Background
During 1993, the NASD Finance Committee formed the Rate Review
SUGGESTED ROUTING*
Senior ManagementInternal AuditLegal & ComplianceOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
As previously reported in Notice to Members 88-104 and 89-17, the NASD requires its members to respond to requests for trading data by using a standardized automated format. This format is
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Students, individuals considering a securities-industry career, and
I would like to comment on two particular components of 21-19. -"It is possible that the public dissemination of more granular data could discourage short-selling activity, which is an important mechanism for both efficient pricing and for liquidity provision. We also request comment on potential negative outcomes of making this information publicly available on an aggregated basis." -
FINRA staff will host this one-hour webinar to discuss the Remote Inspections Pilot Program data submission and documentation requirements. This session will review the upcoming deadlines and the data and information requirements and submission process.FINRA Webinar: Remote Inspections Pilot Program Data Submission and Documentation Requirements – On-Demand RecordingFINRA Member Firms
Trading leveraged/inverse funds has been a boon to my ability to hedge upside and downside risk without the complexity of options. Also, through products like SARK and SQQQ, I am able to hedge against downside risk without margin.
I think smaller traders like me will lose a lot of flexibility if unable to trade leveraged/inverse funds.
Fidelity already shows comprehensive warnings about trading
I am writing to respectfully request your attention to an issue I have encountered regarding the process for obtaining a waiver for individuals like myself who have held multiple FINRA licenses in the past but whose registrations have expired due to factors outside of their control.I have held several FINRA licenses dating back to 1998 (please refer to the attached report for details). In 2013, I
In observance of the National Day of Mourning in honor of former President James Earl Carter, Jr., the FINRA equity facilities will be closed on Thursday, January 9, 2025.
