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FINRA senior staff host this one-hour webinar to discuss the Remote Inspections Pilot Program. This session reviews frequently asked questions we’ve received, the open enrollment and opt-out periods, and the data and information requirement for the program.This event is open to FINRA member firms only and registration is required for each webinar. Participants must provide their firm's
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to retire the FINRA Rule 10000 Series (Code of Arbitration Procedure).
OTC Threshold data is published daily by FINRA to identify OTC equity securities with fails to deliver that are required to be closed out pursuant to Rule 203(b)(3) of Regulation SHO or FINRA Rule 4320. Firms must utilize the OTC Threshold list to ensure full compliance with the rules. While threshold status is based on the aggregate fail in a specific equity security, the obligation to close-out
FINRA publishes the short interest reports it collects from broker-dealers for all exchange-listed and over-the-counter (OTC) equity securities. Learn more about equities and OTC equities trading.View DataAbout the DataData GlossaryView Equity Short Interest Data Glossary for definitions of data fields. Data CollectionFINRA Rule 4560 requires FINRA member firms to report their short positions in
FINRA publishes the short interest reports it collects from broker-dealers for all exchange-listed and over-the-counter (OTC) equity securities. Learn more about equities and OTC equities trading.FINRA Rule 4560 requires FINRA member firms to report their short positions in all OTC equity securities to FINRA. OTC equity / other OTC short interest is available for view by issue, or by
FINRA departments also create specific subject-matter committees as needed to consult on various issues. The composition of the committees and their meeting frequency depends upon FINRA’s consultation needs related to the subject matter.
The simplified arbitration rules apply to arbitrations involving $25,000 or less, exclusive of interest and expenses
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System: Data disseminated via dynamic reporting grid in FINRA.org and FINRA Gateway Incident Type: Disruption Status: Under Under Investigation First Reported Time: 05/06/2024 12:20 PM Last Updated Time: 05/06/2023 12:50 PM Description: Data is not loading in any of the dynamic reporting grids used in FINRA.org and FINRA Gateway.Incident FreeAll status information is reported on this page
This Rule prescribes requirements regarding the continuing education of registered persons. The requirements shall consist of a Regulatory Element and a Firm Element as set forth below. This Rule also sets forth continuing education programs through which specified persons may maintain their qualification in a representative or principal registration category following the termination of that
The 2024 FINRA Annual Regulatory Oversight Report provides member firms with insight into findings from FINRA’s Member Supervision, Market Regulation and Enforcement programs.