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FINRA understands that certain jurisdictions and SROs that require a branch office to be either “registered” or “notice filed,” using Form BR (Uniform Branch Office Registration Form) may not currently be able to recognize FINRA Rule 3110.19 (Residential Supervisory Location (“RSL”)).
In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for client testing for all products on Friday, June 14, 2024, from 2 p.m. ET until the end of the day.Production systems are unaffected by this event. NTF will become available again for all products starting June 17, 2024.Please contact FINRA Product Management or call (866) 899-2107 with questions
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Executive Summary
The Office of the Corporate Secretary would like to remind members of the importance of keeping the names of Executive Representatives, as well as mailing addresses for branch offices, up-to-date. Making certain that the Central Registration Depository (CRD) is kept informed of changes in address and
<p>The applicability of NASD Rule 3040 to situations in which associated persons are proposing to receive selling compensation.<br /></p>
FINRA Requests Comment on a Proposed Supplemental Schedule for Inventory Positions
From Monday, May 20, 2024, through Friday, May 31, 2024, the FINRA Test Facility (NTF) for TRACE Corporate and Agency Debt and TRACE Securitized Products will be modified to limit trade retention to five rolling business days. During that time, trades submitted in the NTF environment will only be available for cancellation or correction through T-5. After T-5 all trades must be reversed. The
Frequently Asked Questions (FAQs) about the logistical aspects of the Remote Inspections Pilot Program, including the opt-in process.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) issued two new Regulatory Notices as part of an initiative to conduct retrospective rule reviews on an ongoing basis.
Comment Period Expires January 31, 1998
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
NASD Regulation, Inc., is soliciting member comment on a proposal to discontinue after January 1, 1999, complimentary hard copy distribution of NASD Notices to Members and NASD Regulatory & Compliance Alert, which are currently available for free on the NASD
In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for client testing for all products on Friday, May 10, 2024, from 4:30 p.m. ET until the end of the day.Production systems are unaffected by this event. NTF will become available again for all products starting May 13, 2024. Please contact FINRA Product Management or call (866) 899-2107 with questions