The following are rulemaking items the FINRA Board of Governors will consider at its December 2010 meeting - this information is being published to provide additional transparency in the rulemaking process.
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA is reminding firms that the requirement for each ATS to acquire and use a single, unique MPID when reporting information to FINRA will become effective on February 2, 2015.
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Pursuant to a Securities and Exchange Commission request, FINRA has agreed to make reported short sale trade data publicly available. FINRA will make two types of files available: (1) Daily Short Sale Volume Files and (2) Monthly Short Sale Transaction Files.
As a reminder, on Monday, June 30, 2014, FINRA will launch the fee-based Professional User ATS Transparency Data product.
To conduct securities transactions and business with the investing public in the United States, both firms and individuals must be registered with FINRA. Firms must apply and meet certain membership standards to become a FINRA-registered broker-dealer.FINRA asks that would-be Applicants take time to review and understand all FINRA’s substantive and procedural requirements prior to applying. These
<p>NASD Rule 11190 - Reconfirmation and Pricing Service Participants</p>
In conjunction with the UTP Operating Committee (UTPOC) and Consolidated Tape Authority (CTA), FINRA will begin disseminating odd lot transactions via the Trade Data Dissemination Service (TDDS) on or about October 7, 2013.
FINRA develops Investor Insights and other content in order to help educate investors about important investing issues. FINRA encourages other companies and organizations to link to this content or to place this content directly on their websites in accordance with outlined guidelines. Requestors must obtain permission in writing from FINRA prior to reprinting FINRA copyrighted materials.
