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(a) Neutral List Selection System
The Neutral List Selection System is a computer system that generates, on a random basis, lists of arbitrators from FINRA's rosters of arbitrators for the selected hearing location for each proceeding. The parties will select their panel through a process of striking and ranking the arbitrators on lists generated by the Neutral List
Certain activities of unregistered persons would not be permissible under <i>Notice to Members 88-50</i>.<br />
FINRA recognizes the significant impacts that the spread of coronavirus disease (COVID-19) may have on member firms, investors and other stakeholders.FINRA is committed to providing guidance, updates and other information to help stakeholders stay informed about the latest developments. New information will be posted on this page as it becomes available.Operating StatusDue to the COVID-19
FINRA Vice Chair Luparello Remarks From the FSI Advocacy Summit
<p>A wrap fee program in which a registered representative/investment adviser neither receives transaction fees nor is involved with the execution of securities transactions would be subject to NASD Rule 3030, rather than Rule 3040.<br /></p>
FINRA announced today that it has fined StockCross Financial Services, Inc. $800,000 for Regulation SHO violations and for related supervisory violations that spanned more than three years.
FINRA Enforcement works tirelessly on the front lines of investor protection, and this tremendous undertaking demands steadfast leadership. On this episode of FINRA Unscripted, we are reintroduced to Bill St. Louis, FINRA's new Executive Vice President and Head of Enforcement, to learn more about what's on the horizon for Enforcement in the new year.
In an effort to communicate technical changes to its trade reporting and quotation facilities - TRACE, ORF, and ADF (and related systems) with FINRA member firms, FINRA is introducing a new web page, on FINRA.org, where firms may review upcoming market transparency initiatives. This page will be updated on a regular basis in addition to technical notices that will continue to be posted and
Please be advised NASD will be making a system modification to the TRACE System to support processing of reports from transactions with Execution Dates that occurred more than a year prior to the date the report is made. Currently, the TRACE System can only process submitted and corrected trade reports executed between T-day (current day) and T+365 days (trade reports and corrections of T+1…365